华泰证券2017年第三季度报告

公司代码:601688                      公司简称:华泰证券
                   华泰证券股份有限公司
                   2017 年第三季度报告
                       华泰证券股份有限公司 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 .................................................................   5
四、   附录 .....................................................................   8
                                        2 / 22
                         华泰证券股份有限公司 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 未出席董事情况
   未出席董事姓名       未出席董事职务             未出席原因的说明        被委托人姓名
浦宝英               董事                    公务原因                   高旭
陈宁                 董事                    公务原因                   高旭
刘红忠               独立董事                公务原因                   李志明
1.3 公司负责人周易、主管会计工作负责人舒本娥及会计机构负责人(会计主管人员)费雷保证
    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
                                                                         本报告期末比上年度
                         本报告期末                   上年度末
                                                                             末增减(%)
总资产               374,624,972,242.30            401,450,397,626.64                 -6.68
归属于上市公司股东    85,927,032,022.09             84,357,456,362.12                  1.86
的净资产
                       年初至报告期末        上年初至上年报告期末
                                                                          比上年同期增减(%)
                         (1-9 月)                (1-9 月)
经营活动产生的现金   -47,069,277,551.40                656,103,425.70             -7,274.06
流量净额
                       年初至报告期末        上年初至上年报告期末          比上年同期增减
                         (1-9 月)                (1-9 月)                  (%)
营业收入              12,778,187,982.90             12,216,017,845.11                  4.60
归属于上市公司股东     4,707,537,875.22              4,810,150,882.82                 -2.13
的净利润
归属于上市公司股东     4,681,946,692.52              4,720,575,258.57                 -0.82
的扣除非经常性损益
的净利润
                                          3 / 22
                            华泰证券股份有限公司 2017 年第三季度报告
加权平均净资产收益                      5.52                               5.94     减少 0.42 个百分点
率(%)
基本每股收益(元/股)                   0.66                               0.67                   -1.49
稀释每股收益(元/股)                   0.66                               0.67                   -1.49
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       年初至报告期末金额 说明
                     项目
                                                      (7-9 月)          (1-9 月)
非流动资产处置损益                                       -3,999.61                  -156,293.95      -
计入当期损益的政府补助,但与公司正常经营              4,058,754.48                17,334,751.35      -
业务密切相关,符合国家政策规定、按照一定
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              13,365,426.99                   15,670,683.50      -
少数股东权益影响额(税后)                              909,692.28                   954,327.03      -
所得税影响额                                      -4,355,045.47                   -8,212,285.23      -
                     合计                         13,974,828.67                   25,591,182.70      -
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)                                                                                 162,144
                                      前十名股东持股情况
股东名称(全称)      期末持股数量     比例(%)     持有有限          质押或冻结情况           股东性质
                                                   售条件股         股份           数量
                                                   份数量           状态
香港中央结算(代
                     1,715,053,147      23.9440              0        无                  0   境外法人
理人)有限公司
江苏省国信资产管
                      1,250,928,425     17.4643              0        无                  0   国有法人
理集团有限公司
江苏交通控股有限
                        443,700,918      6.1945              0        无                  0   国有法人
公司
江苏高科技投资集
                        342,028,006      4.7751              0        无                  0   国有法人
团有限公司
中国证券金融股份
                        323,890,811      4.5219              0        无                  0   未知
有限公司
江苏汇鸿国际集团
                        194,694,924      2.7182              0        无                  0   国有法人
股份有限公司
江苏省苏豪控股集
                        183,209,043      2.5578              0        无                  0   国有法人
团有限公司
                                             4 / 22
                              华泰证券股份有限公司 2017 年第三季度报告
江苏宏图高科技股                                                                                 境内非国
                          123,169,146      1.7196              0   未知     123,169,146
份有限公司                                                                                       有法人
中央汇金资产管理
                           98,222,400      1.3713              0     无                    0          未知
有限责任公司
金城集团有限公司           85,353,007      1.1916              0     无                    0     国有法人
                                 前十名无限售条件股东持股情况
股东名称                               持有无限售条件                     股份种类及数量
                                         流通股的数量              种类                        数量
香港中央结算(代理人)有限公司           1,715,053,147      境外上市外资股            1,715,053,147
江苏省国信资产管理集团有限公司           1,250,928,425        人民币普通股            1,250,928,425
江苏交通控股有限公司                        443,700,918       人民币普通股                 443,700,918
江苏高科技投资集团有限公司                  342,028,006       人民币普通股                 342,028,006
中国证券金融股份有限公司                    323,890,811       人民币普通股                 323,890,811
江苏汇鸿国际集团股份有限公司                194,694,924       人民币普通股                 194,694,924
江苏省苏豪控股集团有限公司                  183,209,043       人民币普通股                 183,209,043
江苏宏图高科技股份有限公司                  123,169,146       人民币普通股                 123,169,146
中央汇金资产管理有限责任公司                 98,222,400       人民币普通股                     98,222,400
金城集团有限公司                             85,353,007       人民币普通股                     85,353,007
上述股东关联关系或一致行动的说        江苏省国信资产管理集团有限公司、江苏交通控股有限公
明                                    司、江苏高科技投资集团有限公司、江苏省苏豪控股集团有
                                      限公司以及江苏汇鸿国际集团股份有限公司的母公司江苏
                                      苏汇资产管理有限公司(持股比例为 67.41%)均为江苏省国
                                      资委所属独资企业。此外,未知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股数        公司无优先股股东
量的说明
注:1、本公司境外上市外资股(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。
2、人民币普通股(A 股)股东性质为股东在中国证券登记结算有限责任公司上海分公司登记的账户性质。
3、截止报告期末普通股股东总数中,A 股股东 152,852 户,H 股登记股东 9,292 户。
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
                                                                                单元:元       币种:人民币
                                               5 / 22
                          华泰证券股份有限公司 2017 年第三季度报告
资产负债表项                                                    变动幅度
                 2017 年 9 月 30 日       2016 年 12 月 31 日                   变动原因说明
      目                                                          (%)
货币资金         78,642,646,972.03        113,667,317,096.92      -30.81%     客户资金存款减少
结算备付金       16,843,082,349.42         27,360,449,313.86      -38.44%     客户备付金减少
衍生金融资产        265,167,924.52            106,591,783.45      148.77%     场外期权浮盈增加
                                                                              开放式基金应收清
应收款项          1,370,616,590.56            991,412,621.81         38.25%
                                                                              算款增加
持有至到期投                                                                  持有至到期投资兑
                                      -         5,000,000.00    -100.00%
资                                                                            付
在建工程             96,688,479.41             63,040,686.04         53.37%   在建工程增加所致
递延所得税资                                                                  可抵扣暂时性差异
                    270,687,549.90            556,094,242.80     -51.32%
产                                                                            减少所致
短期借款            986,690,788.90            460,255,000.00     114.38%      短期借款增加所致
应付短期融资
                 20,399,700,000.00          1,621,000,000.00    1158.46%      新发短期融资券

拆入资金          3,500,000,000.00          6,650,000,000.00     -47.37%      拆入资金减少所致
                                                                              权益互换浮亏增加
衍生金融负债      1,420,972,340.38            864,010,723.48         64.46%
                                                                              所致
代理承销证券                                                                  承销结算资金余额
                      2,821,324.09                522,500.00     439.97%
款                                                                            增加所致
                                                                              企业所得税应纳税
应交税费            601,934,340.65            881,059,919.58     -31.68%
                                                                              额减少
                                                                              开放式基金申购款
应付款项          2,948,804,892.25          6,827,815,809.37     -56.81%
                                                                              减少所致
                年初至报告期末(1-9       上年初至上年报告期
  利润表项目                                                    变动幅度        变动原因说明
                        月)                  末(1-9 月)
汇兑收益/(损
                     -4,816,371.86            -51,418,613.84     -90.63%      汇兑损失减少所致
失)
其他收益             17,334,751.35                          -        不适用   政府补助
                                                                              营改增导致营业税
税金及附加          106,658,621.10            383,279,790.70     -72.17%
                                                                              金下降所致
资产减值(损
                     16,053,488.12            -40,380,280.51    -139.76%      资产减值增加
失)/转回
                                                                              政府补助单列、税
                                                                              收返还及固定资产
营业外收入           34,920,396.04             94,094,899.08     -62.89%
                                                                              清理净收入减少所
                                                                              致
营业外支出           18,362,472.49             11,839,757.67         55.09%   捐赠支出增加所致
其他综合收益                                                                  可供出售金融资产
                    442,603,839.95            175,471,968.89     152.24%
的税后净额                                                                    浮盈所致
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
    1、2017年8月21日,公司收到中国证监会江苏监管局《关于通报证券公司分类评价结果的通
知》(苏证监机构字【2017】62号),公司2017年证券公司分类结果为:A类AA级。
    2、2017年9月22日,公司全资子公司华泰紫金投资有限责任公司完成工商变更,法定代表人
由周易变更为姜健。
                                             6 / 22
                         华泰证券股份有限公司 2017 年第三季度报告
    3、报告期内,公司全资子公司华泰金融控股(香港)有限公司完成了两家英属维尔京群岛特
殊目的公司(SPV)Lucid Elegant Limited和Lead Talent Enterprises Limited的注销申请,两
家公司正式解散。
    4、报告期内,公司控股子公司华泰期货有限公司获准在上海自由贸易试验区设立第二家风险
管理子公司华泰长城投资管理有限公司并获准备案(《关于华泰长城投资管理有限公司设立予以
备案的通知》(中期协备字[2017]52号))。2017年9月4日,华泰期货有限公司向全资子公司华
泰长城投资管理有限公司注资人民币1亿元。
    5、张丽芳女士不再担任根据香港法例第622章公司条例第16部代表本公司于香港接受送达法
律程序文件之代理人,自2017年10月31日起生效。同时,李国第先生获委任担任本公司于香港接
受送达法律程序文件之代理人,以取代张丽芳女士,并自2017年10月31日起生效。
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
                                                     公司名称       华泰证券股份有限公司
                                                   法定代表人       周易
                                                          日期      2017 年 10 月 30 日
                                          7 / 22
                         华泰证券股份有限公司 2017 年第三季度报告
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:华泰证券股份有限公司
                                             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                                 78,642,646,972.03        113,667,317,096.92
    其中:客户存款                         48,854,886,582.74         68,437,285,408.40
  结算备付金                               16,843,082,349.42         27,360,449,313.86
    其中:客户备付金                       15,120,652,866.74         26,131,648,521.88
  拆出资金                                                    -                     -
  融出资金                                 58,525,675,604.09         56,605,103,863.69
  以公允价值计量且其变动计入当期           85,952,902,673.80         83,107,232,026.80
损益的金融资产
  衍生金融资产                                 265,167,924.52          106,591,783.45
  买入返售金融资产                         51,615,076,071.06         46,331,181,915.68
  应收款项                                   1,370,616,590.56          991,412,621.81
  应收利息                                   5,352,347,302.78         4,154,102,529.57
  存出保证金                                 7,409,808,713.31         8,158,628,131.26
  应收股利                                                    -                     -
  划分为持有待售的资产                                        -                     -
  可供出售金融资产                         51,601,599,753.96         43,736,561,642.99
  持有至到期投资                                              -           5,000,000.00
  长期应收款                                                  -                     -
  长期股权投资                               3,709,071,558.24         3,377,277,459.28
  投资性房地产                                 869,612,483.94         1,130,267,653.92
  固定资产                                   3,686,148,310.89         3,504,409,930.85
  在建工程                                         96,688,479.41         63,040,686.04
  无形资产                                   5,163,796,887.37         5,509,024,241.64
  开发支出                                                    -                     -
  商誉                                       2,091,252,159.89         2,091,252,159.89
  长期待摊费用                                     69,190,073.38         79,070,262.45
  递延所得税资产                               270,687,549.90          556,094,242.80
  其他资产                                   1,089,600,783.75          916,380,063.74
         资产总计                         374,624,972,242.30        401,450,397,626.64
负债:
  短期借款                                     986,690,788.90          460,255,000.00
  应付短期融资款                           20,399,700,000.00          1,621,000,000.00
  拆入资金                                   3,500,000,000.00         6,650,000,000.00
                                          8 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
  以公允价值计量且其变动计入当期             21,980,764,672.57             27,919,978,030.69
损益的金融负债
  衍生金融负债                                 1,420,972,340.38               864,010,723.48
  卖出回购金融资产款                         23,151,739,538.73             19,463,375,010.06
  代理买卖证券款                             59,217,169,223.44             82,617,055,934.25
  代理承销证券款                                      2,821,324.09                522,500.00
  信用交易代理买卖证券款                       7,315,156,440.70            10,111,781,264.67
  应付职工薪酬                                 2,378,624,804.84             2,517,089,820.05
  应交税费                                       601,934,340.65               881,059,919.58
  应付款项                                     2,948,804,892.25             6,827,815,809.37
  应付利息                                     2,073,145,050.27             2,155,235,927.17
  应付股利                                           14,010,779.55             13,096,640.00
  划分为持有待售的负债                                          -                         -
  预计负债                                                      -                         -
  长期借款                                                      -                         -
  应付债券                                   74,136,658,787.49             75,847,816,422.44
  长期应付款                                                    -                         -
  长期应付职工薪酬                             5,138,618,357.36             4,988,352,558.01
  专项应付款                                                    -                         -
  递延所得税负债                               2,612,416,965.45             2,562,143,718.71
  递延收益                                           12,581,571.44             12,581,571.44
  其他负债                                   59,135,660,358.28             70,277,030,274.71
    负债合计                                287,027,470,236.39            315,790,201,124.63
所有者权益(或股东权益):
  实收资本(或股本)                           7,162,768,800.00             7,162,768,800.00
  其他权益工具                                                  -                         -
  资本公积                                   45,837,762,390.89             45,837,762,390.89
  减:库存股                                                    -                         -
  其他综合收益                                 4,590,597,579.95             4,147,175,395.20
  专项储备                                                      -                         -
  盈余公积                                     3,071,194,747.49             3,071,194,747.49
  一般风险准备                                 7,943,811,586.23             7,943,619,249.17
  未分配利润                                 17,320,896,917.53             16,194,935,779.37
  外币报表折算差额                                              -                         -
  归属于母公司所有者权益(或股东             85,927,032,022.09             84,357,456,362.12
权益)合计
  少数股东权益                                 1,670,469,983.82             1,302,740,139.89
    所有者权益(或股东权益)合计             87,597,502,005.91             85,660,196,502.01
    负债和所有者权益(或股东权益)          374,624,972,242.30            401,450,397,626.64
总计
法定代表人:周易         主管会计工作负责人:舒本娥               会计机构负责人:费雷
                                            9 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
                                     母公司资产负债表
                                     2017 年 9 月 30 日
编制单位:华泰证券股份有限公司
                                               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                                   43,445,986,588.86         67,278,642,815.89
   其中:客户存款                            38,713,615,342.55         51,779,989,186.01
  结算备付金                                 16,838,126,568.97         27,858,002,109.73
   其中:客户备付金                          15,111,492,600.00         26,107,661,146.15
  拆出资金                                                      -                     -
  融出资金                                   58,396,931,589.93         56,523,469,546.25
  以公允价值计量且其变动计入当               37,399,498,778.45         28,493,715,228.58
期损益的金融资产
  衍生金融资产                                    90,161,763.38            81,459,067.16
  买入返售金融资产                           44,224,841,823.51         31,976,904,956.38
  应收款项                                       295,673,650.62          151,496,987.31
  应收利息                                    4,138,206,248.29          2,940,266,728.38
  存出保证金                                  1,538,864,390.16          1,833,842,081.96
  应收股利                                                      -                     -
  划分为持有待售的资产                                          -                     -
  一年内到期的非流动资产                                        -                     -
  可供出售金融资产                           35,235,993,087.44         29,686,277,592.92
  持有至到期投资                                                -           5,000,000.00
  长期应收款                                                    -                     -
  长期股权投资                               19,983,738,886.77         19,451,114,077.90
  投资性房地产                                1,756,226,977.65          2,028,931,224.42
  固定资产                                    2,599,735,185.03          2,398,316,122.54
  在建工程                                        24,478,822.61            45,213,603.91
  无形资产                                       408,906,822.56          432,715,025.36
  开发支出                                                      -                     -
  商誉                                                          -                     -
  长期待摊费用                                    51,963,982.06            61,948,340.50
  递延所得税资产                                                -                     -
  其他资产                                       367,286,938.65          142,751,272.41
   资产总计                                 266,796,622,104.94        271,390,066,781.60
负债:
  短期借款                                                      -                     -
  应付短期融资款                             20,399,700,000.00          1,621,000,000.00
  拆入资金                                    3,500,000,000.00          6,650,000,000.00
  以公允价值计量且其变动计入当                9,311,222,000.00         16,120,835,950.00
期损益的金融负债
                                           10 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
  衍生金融负债                                1,317,382,364.76                  851,834,204.00
  卖出回购金融资产款                         18,977,071,000.00               10,520,963,000.00
  代理买卖证券款                             44,640,492,848.94               61,802,860,998.45
  代理承销证券款                                     2,821,314.86                   522,500.00
  信用交易代理买卖证券款                      7,153,798,040.70               10,000,829,257.61
  应付职工薪酬                                   592,227,560.87               1,291,016,350.25
  应交税费                                       352,658,130.16                 391,168,572.81
  应付款项                                    1,889,642,856.40                5,919,856,842.05
  应付利息                                    2,068,673,537.91                2,108,897,353.30
  应付股利                                            914,139.55                            -
  划分为持有待售的负债                                          -                           -
  预计负债                                                      -                           -
  长期借款                                                      -                           -
  应付债券                                   71,488,195,755.88               72,483,195,051.21
  长期应付款                                                    -                           -
  长期应付职工薪酬                            5,138,618,357.36                4,225,060,000.00
  专项应付款                                                    -                           -
  递延所得税负债                                 709,629,970.30                 330,909,156.59
  递延收益                                        12,581,571.44                  12,581,571.44
  其他负债                                       996,812,269.82               1,116,326,132.64
   负债合计                                 188,552,441,718.95              195,447,856,940.35
所有者权益(或股东权益):
  实收资本(或股本)                          7,162,768,800.00                7,162,768,800.00
  其他权益工具                                                  -                           -
  资本公积                                   45,577,448,327.12               45,577,448,327.12
  减:库存股                                                    -                           -
  其他综合收益                                3,501,160,591.33                3,181,803,431.97
  专项储备                                                      -                           -
  盈余公积                                    3,071,194,747.49                3,071,194,747.49
  一般风险准备                                6,354,298,309.47                6,354,298,309.47
  未分配利润                                 12,577,309,610.58               10,594,696,225.20
  外币报表折算差额                                              -                           -
    所有者权益(或股东权益)合计             78,244,180,385.99               75,942,209,841.25
负债和所有者权益(或股东权益)总            266,796,622,104.94              271,390,066,781.60

法定代表人:周易         主管会计工作负责人:舒本娥                 会计机构负责人:费雷
                                           11 / 22
                             华泰证券股份有限公司 2017 年第三季度报告
                                           合并利润表
                                         2017 年 1—9 月
编制单位:华泰证券股份有限公司
                                                单位:元 币种:人民币 审计类型:未经审计
                                                        年初至报告期期末
                本期金额              上期金额                                上年年初至报告期
  项目                                                         金额
                (7-9 月)            (7-9 月)                              期末金额(1-9 月)
                                                            (1-9 月)
一、营业收   4,661,596,143.87     4,860,245,220.96      12,778,187,982.90 12,216,017,845.11

  手续费     2,412,154,736.49     1,941,911,685.51         6,313,208,405.23    5,919,703,791.81
及佣金净
收入
  其中:经   1,211,891,620.39     1,316,947,711.32         3,240,902,842.48    4,206,462,738.42
纪业务手
续费净收

    投   604,993,961.67          518,569,973.09        1,277,895,357.47    1,353,129,724.03
资银行业
务手续费
净收入
    资   576,602,707.94          206,688,996.02        1,715,909,195.95      253,243,390.96
产管理业
务手续费
净收入
  利息净     714,711,085.39          916,038,458.70        2,436,488,233.36    2,463,879,990.18
收入
  投资收   1,222,660,071.17       2,052,889,414.54         3,724,950,017.08    3,576,184,250.97
益(损失以
“-”号填
列)
  其中:对   148,961,257.89          101,584,018.07         378,251,908.57       287,218,315.46
联营企业
和合营企
业的投资
收益
  公允价     231,607,309.43        -101,652,001.86          135,795,483.21       145,392,291.10
值变动收
益(损失以
“-”号填
列)
  汇兑收       9,652,459.76          -27,981,242.98          -4,816,371.86       -51,418,613.84
益(损失以
“-”号填
列)
  其他收       4,058,754.48                         -        17,334,751.35                    -
                                             12 / 22
                          华泰证券股份有限公司 2017 年第三季度报告

  其他业       66,751,727.15       79,038,907.05        155,227,464.53     162,276,134.89
务收入
二、营业支   2,330,093,025.03   2,220,619,584.64      6,461,974,694.94    5,767,623,939.64

  税金及       39,091,872.25       39,536,092.67        106,658,621.10     383,279,790.70
附加
  业务及     2,236,923,923.41   2,178,061,820.74      6,251,135,846.59    5,342,202,486.68
管理费
  资产减       10,108,524.90      -35,115,149.77          16,053,488.12    -40,380,280.51
值损失
  其他业       43,968,704.47       38,136,821.00          88,126,739.13     82,521,942.77
务成本
三、营业利   2,331,503,118.84   2,639,625,636.32      6,316,213,287.96    6,448,393,905.47
润(亏损以
“-” 号
填列)
  加:营业     21,015,234.74       21,301,121.46          33,876,862.04     94,094,899.08
外收入
  减:营业      7,653,807.36        8,289,717.25          18,362,472.49     11,839,757.67
外支出
四、利润总   2,344,864,546.22   2,652,637,040.53      6,331,727,677.51    6,530,649,046.88
额(亏损总
额以“-”
号填列)
  减:所得    569,885,216.01      642,264,139.20      1,502,181,288.26    1,576,722,914.81
税费用
五、净利润   1,774,979,330.21   2,010,372,901.33      4,829,546,389.25    4,953,926,132.07
(净亏损
以“-”
号填列)
  其中:     1,714,287,955.50   1,968,897,534.94      4,707,537,875.22    4,810,150,882.82
归属于母
公司所有
者(或股
东)的净利

  少数股       60,691,374.71       41,475,366.39        122,008,514.03     143,775,249.25
东损益
六、其他综    233,777,286.05    1,417,469,161.78        442,603,839.95     175,471,968.89
合收益的
税后净额
  归属母      217,133,967.97    1,413,325,990.75        443,422,184.75     170,595,106.38
公司所有
者的其他
                                          13 / 22
                        华泰证券股份有限公司 2017 年第三季度报告
综合收益
的税后净

  (一)以                -                    -                   -                -
后不能重
分类进损
益的其他
综合收益
    1.重                  -                    -                   -                -
新计量设
定受益计
划净负债
或净资产
的变动
    2.权                  -                    -                   -                -
益法下在
被投资单
位不能重
分类进损
益的其他
综合收益
中享有的
份额
  (二)以   217,133,967.97   1,413,325,990.75        443,422,184.75    170,595,106.38
后将重分
类进损益
的其他综
合收益
    1.权       1,268,039.16     159,178,058.86          14,805,875.34   146,459,823.11
益法下在
被投资单
位以后将
重分类进
损益的其
他综合收
益中享有
的份额
    2.可     279,197,923.67   1,239,738,067.42        681,735,508.02    -10,463,619.08
供出售金
融资产公
允价值变
动损益
    3.持                  -                    -                   -                -
有至到期
投资重分
                                        14 / 22
                          华泰证券股份有限公司 2017 年第三季度报告
类为可供
出售金融
资产损益
    4.现                    -                    -                     -                  -
金流量套
期损益的
有效部分
    5.外      -63,331,994.86       14,409,864.47       -253,119,198.61        34,598,902.35
币财务报
表折算差

    6.其                    -                    -                     -                  -

  归属于       16,643,318.08        4,143,171.03            -818,344.80        4,876,862.51
少数股东
的其他综
合收益的
税后净额
七、综合收   2,008,756,616.26   3,427,842,063.11      5,272,150,229.20      5,129,398,100.96
益总额
  归属于     1,931,421,923.47   3,382,223,525.69      5,150,960,059.97      4,980,745,989.20
母公司所
有者的综
合收益总

  归属于       77,334,692.79       45,618,537.42        121,190,169.23       148,652,111.76
少数股东
的综合收
益总额
八、每股收
益:
  (一)基              0.24                  0.27                   0.66               0.67
本每股收
益(元/股)
  (二)稀              0.24                  0.27                   0.66               0.67
释每股收
益(元/股)
法定代表人:周易         主管会计工作负责人:舒本娥              会计机构负责人:费雷
                                          15 / 22
                          华泰证券股份有限公司 2017 年第三季度报告
                                       母公司利润表
                                      2017 年 1—9 月
编制单位:华泰证券股份有限公司
                                              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
                  (7-9 月)          (7-9 月)
                                                         (1-9 月)       (1-9 月)
一、营业收入   2,704,559,454.95    3,346,905,680.20     9,921,626,273.20   8,310,838,507.63
  手续费及     1,149,128,027.38    1,332,380,996.23     3,150,553,502.11   4,252,677,315.05
佣金净收入
  其中:经纪 1,110,689,176.11      1,213,291,164.99     3,002,241,579.56   3,988,454,150.34
业务手续费
净收入
    投        8,480,836.84       84,126,928.71         69,895,592.35    157,355,226.31
资银行业务
手续费净收

    资                     -                    -                 -                  -
产管理业务
手续费净收

  利息净收      642,903,652.95      761,486,958.48      1,934,544,042.08   1,880,828,686.57

  投资收益      628,495,565.45     1,350,365,336.78     4,590,440,077.23   1,886,811,805.73
(损失以
“-”号填
列)
  其中:对联    131,733,216.95      103,640,025.03        360,397,915.78    295,693,044.30
营企业和合
营企业的投
资收益
  公允价值      240,927,466.18      -83,793,297.11        172,940,383.98    255,140,572.59
变动收益(损
失以“-”号
填列)
  汇兑收益        7,975,007.98      -29,875,398.77        -19,293,772.47    -25,126,368.45
(损失以
“-”号填
列)
  其他收益        1,043,534.00                      -       6,239,530.87                 -
  其他业务       34,086,201.01       16,341,084.59         86,202,509.40     60,506,496.14
收入
二、营业支出   1,191,733,087.44    1,441,150,748.29     3,360,282,061.17   3,666,685,993.21
                                          16 / 22
                          华泰证券股份有限公司 2017 年第三季度报告
  税金及附       32,233,218.30       32,437,562.04         89,582,542.48    276,747,495.88

  业务及管     1,134,890,448.95   1,391,495,255.85      3,211,178,294.21   3,347,834,765.41
理费
  资产减值        9,276,110.65        2,667,475.27         16,227,688.66       -670,542.89
损失
  其他业务       15,333,309.54       14,550,455.13         43,293,535.82     42,774,274.81
成本
三、营业利润   1,512,826,367.51   1,905,754,931.91      6,561,344,212.03   4,644,152,514.42
(亏损以
“-” 号填
列)
  加:营业外     17,214,187.93       10,844,982.52         28,748,022.14     55,375,822.07
收入
  减:营业外      2,383,423.13        6,226,640.25         11,932,030.22      8,724,106.55
支出
四、利润总额   1,527,657,132.31   1,910,373,274.18      6,578,160,203.95   4,690,804,229.94
(亏损总额
以“-”号填
列)
  减:所得税    348,977,978.85      451,683,312.29      1,030,274,056.34   1,073,223,703.82
费用
五、净利润     1,178,679,153.46   1,458,689,961.89      5,547,886,147.61   3,617,580,526.12
(净亏损以
“-” 号填
列)
六、其他综合    106,011,432.56    1,509,211,878.21        319,357,159.36    248,912,319.91
收益的税后
净额
  (一)以后                  -                     -                 -                  -
不能重分类
进损益的其
他综合收益
    1.重新                    -                     -                 -                  -
计量设定受
益计划净负
债或净资产
的变动
    2.权益                    -                     -                 -                  -
法下在被投
资单位不能
重分类进损
益的其他综
                                          17 / 22
                        华泰证券股份有限公司 2017 年第三季度报告
合收益中享
有的份额
  (二)以后   106,011,432.56   1,509,211,878.21        319,357,159.36     248,912,319.91
将重分类进
损益的其他
综合收益
    1.权益         751,886.13      10,246,748.16          5,096,893.09     -20,614,776.75
法下在被投
资单位以后
将重分类进
损益的其他
综合收益中
享有的份额
    2.可供     105,259,546.43   1,498,965,130.05        314,260,266.27     269,527,096.66
出售金融资
产公允价值
变动损益
    3.持有                  -                     -                   -                 -
至到期投资
重分类为可
供出售金融
资产损益
    4.现金                  -                     -                   -                 -
流量套期损
益的有效部

    5.外币                  -                     -                   -                 -
财务报表折
算差额
    6.其他                  -                     -                   -                 -
七、综合收益 1,284,690,586.02   2,967,901,840.10      5,867,243,306.97    3,866,492,846.03
总额
八、每股收益:
  (一)基本                -                     -                   -                 -
每股收益(元
/股)
  (二)稀释                -                     -                   -                 -
每股收益(元
/股)
法定代表人:周易       主管会计工作负责人:舒本娥              会计机构负责人:费雷
                                        18 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
                                      合并现金流量表
                                      2017 年 1—9 月
编制单位:华泰证券股份有限公司
                                               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
益的金融资产净增加额
  处置以公允价值计量且其变动计入当期                                  -      48,007,590,245.23
损益的金融资产净收到的现金
  收取利息、手续费及佣金的现金                  16,387,271,836.37            15,838,428,558.42
  拆入资金净增加额                                                    -       3,384,052,824.27
  回购业务资金净增加额                                                -                      -
  融出资金净减少额                                                    -      14,731,678,361.39
  代理买卖证券收到的现金净额                                          -                      -
  收到其他与经营活动有关的现金                  10,498,104,094.80             6,404,752,553.64
   经营活动现金流入小计                         26,885,375,931.17            88,366,502,542.95
  融出资金净增加额                               1,923,084,181.17                            -
  购入以公允价值计量且其变动计入当期             3,635,921,143.27            18,810,478,674.69
损益的金融资产净支付的现金
  回购业务资金净减少额                           3,150,000,000.00                            -
  拆入资金净减少                                 7,149,930,641.94                            -
  代理买卖证券支付的现金净额                    30,330,454,663.51            36,101,178,203.45
  支付利息、手续费及佣金的现金                   4,799,164,568.79             3,870,556,292.29
  支付给职工以及为职工支付的现金                 4,499,687,372.12             3,243,743,050.93
  支付的各项税费                                 2,227,940,198.10             4,278,540,589.01
  支付其他与经营活动有关的现金                  16,238,470,713.67            21,405,902,306.88
   经营活动现金流出小计                         73,954,653,482.57            87,710,399,117.25
      经营活动产生的现金流量净额               -47,069,277,551.40               656,103,425.70
二、投资活动产生的现金流量:
  收回投资收到的现金                                                  -       1,739,738,221.00
  取得投资收益收到的现金                             847,946,150.48             437,824,542.78
  处置子公司及其他营业单位收到的现金                                  -                      -
净额
  收到其他与投资活动有关的现金                       442,532,078.35           4,322,677,056.51
   投资活动现金流入小计                          1,290,478,228.83             6,500,239,820.29
  投资支付的现金                                 4,998,950,543.62             4,973,911,253.69
  购建固定资产、无形资产和其他长期资                 395,975,929.42             302,532,949.89
产支付的现金
  取得子公司及其他营业单位支付的现金                 150,316,194.54             136,100,000.00
净额
                                           19 / 22
                          华泰证券股份有限公司 2017 年第三季度报告
  支付其他与投资活动有关的现金                       67,925,482.84           156,716,428.02
   投资活动现金流出小计                         5,613,168,150.42           5,569,260,631.60
      投资活动产生的现金流量净额               -4,322,689,921.59             930,979,188.69
三、筹资活动产生的现金流量:
  吸收投资收到的现金                                279,943,344.22            80,000,000.00
  其中:子公司吸收少数股东投资收到的                279,943,344.22                       -
现金
  取得借款收到的现金                                529,690,788.90            93,358,400.00
  发行债券收到的现金                           55,458,540,000.00          11,489,490,000.00
  收到其他与筹资活动有关的现金                                       -                   -
   筹资活动现金流入小计                        56,268,174,133.12          11,662,848,400.00
  偿还债务支付的现金                           38,283,095,000.00          27,491,107,530.74
  分配股利、利润或偿付利息支付的现金            6,246,541,325.75           7,473,791,687.98
  其中:子公司支付给少数股东的股利、                 44,339,849.50                       -
利润
  支付其他与筹资活动有关的现金                        2,394,470.64            94,578,424.20
   筹资活动现金流出小计                        44,532,030,796.39          35,059,477,642.92
      筹资活动产生的现金流量净额               11,736,143,336.73         -23,396,629,242.92
四、汇率变动对现金及现金等价物的影响                -133,516,346.53           10,310,210.71
五、现金及现金等价物净增加额                  -39,789,340,482.79         -21,799,236,417.82
  加:期初现金及现金等价物余额                126,220,547,927.29         150,540,283,811.18
六、期末现金及现金等价物余额                   86,431,207,444.50         128,741,047,393.36
法定代表人:周易       主管会计工作负责人:舒本娥                会计机构负责人:费雷
                                          20 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
                                     母公司现金流量表
                                       2017 年 1—9 月
编制单位:华泰证券股份有限公司
                                               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金额
              项目
                                             (1-9月)                        (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
期损益的金融资产净增加额
  处置以公允价值计量且其变动计入                                -            40,999,454,850.86
当期损益的金融资产净收到的现金
  收取利息、手续费及佣金的现金                9,758,005,326.16               11,261,427,035.65
  拆入资金净增加额                                              -             3,650,000,000.00
  回购业务资金净增加额                                          -                            -
  融出资金净减少额                                              -            14,717,250,224.26
  代理买卖证券收到的现金净额                                    -                            -
  收到其他与经营活动有关的现金                9,383,719,468.79                  207,078,182.61
   经营活动现金流入小计                      19,141,724,794.95               70,835,210,293.38
  融出资金净增加额                            1,875,974,484.45                               -
  购入以公允价值计量且其变动计入             13,884,233,928.52               18,029,173,666.53
当期损益的金融资产净支付的现金
  回购业务资金净减少额                        1,226,790,519.12                               -
  拆入资金净减少额                            3,150,000,000.00                               -
  代理买卖证券支付的现金净额                 24,143,342,495.15               38,746,366,780.32
  支付利息、手续费及佣金的现金                2,985,734,587.23                3,365,958,729.54
  支付给职工以及为职工支付的现金              2,171,196,350.92                2,109,621,105.09
  支付的各项税费                              1,210,773,403.94                3,337,747,352.19
  支付其他与经营活动有关的现金                   718,793,549.46              13,847,946,321.21
   经营活动现金流出小计                      51,366,839,318.79               79,436,813,954.88
      经营活动产生的现金流量净额            -32,225,114,523.84               -8,601,603,661.50
二、投资活动产生的现金流量:
  收回投资收到的现金                                 5,000,000.00             1,093,940,124.41
  取得投资收益收到的现金                      2,389,600,197.97                  264,003,363.42
  收到其他与投资活动有关的现金                    41,746,136.43                   2,810,833.45
   投资活动现金流入小计                       2,436,346,334.40                1,360,754,321.28
  投资支付的现金                              4,427,181,356.58                               -
  购建固定资产、无形资产和其他长                 319,733,212.34                 283,172,381.95
期资产支付的现金
  取得子公司及其他营业单位支付的                 360,000,000.00               5,541,337,000.00
现金净额
  支付其他与投资活动有关的现金                                  -             4,161,768,110.40
   投资活动现金流出小计                       5,106,914,568.92                9,986,277,492.35
                                           21 / 22
                           华泰证券股份有限公司 2017 年第三季度报告
      投资活动产生的现金流量净额             -2,670,568,234.52               -8,625,523,171.07
三、筹资活动产生的现金流量:
  吸收投资收到的现金                                            -                           -
  取得借款收到的现金                                            -                           -
  发行债券收到的现金                         55,458,540,000.00               10,889,490,000.00
  收到其他与筹资活动有关的现金                                  -                           -
   筹资活动现金流入小计                      55,458,540,000.00               10,889,490,000.00
  偿还债务支付的现金                         37,679,840,000.00               26,891,107,530.74
  分配股利、利润或偿付利息支付的              6,161,799,815.08                7,397,003,480.65
现金
  支付其他与筹资活动有关的现金                       2,394,470.64                94,578,424.20
   筹资活动现金流出小计                      43,844,034,285.72               34,382,689,435.59
      筹资活动产生的现金流量净额             11,614,505,714.28              -23,493,199,435.59
四、汇率变动对现金及现金等价物的                     7,975,007.87               -25,126,368.45
影响
五、现金及现金等价物净增加额                -23,273,202,036.21              -40,745,452,636.61
  加:期初现金及现金等价物余额               87,210,964,194.04              130,617,931,523.58
六、期末现金及现金等价物余额                 63,937,762,157.83               89,872,478,886.97
法定代表人:周易          主管会计工作负责人:舒本娥                会计机构负责人:费雷
4.2 审计报告
□适用 √不适用
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