华泰证券2019年第三季度报告

                    华泰证券股份有限公司 2019 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
                   2019 年第三季度报告




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                        华泰证券股份有限公司 2019 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...................................................................... 8




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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
         刘红忠                独立董事                  公务原因                 陈传明
         陈志斌                独立董事                  公务原因                 陈传明

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
                                 本报告期末                  上年度末
                                                                                年度末增减(%)
总资产                       510,450,145,847.51          368,665,874,058.71                38.46
归属于上市公司股东的净       119,946,230,962.16          103,393,576,924.99                16.01
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流量         8,945,089,187.95           26,304,596,957.90             -65.99
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                      17,749,900,364.96           12,519,243,640.36                41.78
归属于上市公司股东的净         6,440,723,943.13            4,479,803,439.20                43.77
利润
归属于上市公司股东的扣         6,302,824,326.95            4,371,269,255.20                44.19
除非经常性损益的净利润
加权平均净资产收益率(%)                     5.83                       4.88    增加 0.95 个百
                                                                                           分点
基本每股收益(元/股)                         0.75                       0.61              22.95
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稀释每股收益(元/股)                          0.75                    0.61               22.95

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
                                                               (7-9 月)    金额(1-9 月)
非流动资产处置损益                                               575,268.71           443,520.72
计入当期损益的政府补助,但与公司正常经营业务密切相            169,617,317.48    187,396,054.77
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                           -4,007,894.06     -1,051,416.95
少数股东权益影响额(税后)                                       -165,105.89      -2,093,906.80
所得税影响额                                                  -41,519,228.13    -46,794,635.56
                         合计                                 124,500,358.11    137,899,616.18

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)                                                                           234,824
                                     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
                     1,587,514,727      17.49             -      无               -    境外法人
理人)有限公司
江苏省国信集团有
                     1,329,224,036      14.64             -      无               -    国有法人
限公司
Citibank,
National                825,150,000      9.09             -      无               -    境外法人
Association
江苏交通控股有限
                        488,965,418      5.39             -      无               -    国有法人
公司
江苏高科技投资集
                        355,770,606      3.92             -      无               -    国有法人
团有限公司
阿里巴巴(中国)                                                                       境内非国
                        268,199,233      2.95             -      无               -
网络技术有限公司                                                                         有法人
安信证券-招商银
行-安信证券定增
                        247,545,593      2.73             -      无               -      未知
宝 1 号集合资产管
理计划
中国证券金融股份
                        246,720,811      2.72             -      无               -      未知
有限公司


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苏宁易购集团股份                                                                             境内非国
                          178,144,246        1.96              -   未知     122,860,000
有限公司                                                                                       有法人
江苏省苏豪控股集
                          152,327,863        1.68              -     无                -     国有法人
团有限公司
                                  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            1,587,514,727      境外上市外资股            1,587,514,727
                                                               人民币普通股            1,271,072,836
江苏省国信集团有限公司                    1,329,224,036
                                                             境外上市外资股                58,151,200
Citibank, National Association               825,150,000       人民币普通股                825,150,000
                                                               人民币普通股                451,965,418
江苏交通控股有限公司                         488,965,418
                                                             境外上市外资股                37,000,000
                                                               人民币普通股                342,028,006
江苏高科技投资集团有限公司                   355,770,606
                                                             境外上市外资股                13,742,600
阿里巴巴(中国)网络技术有限公司             268,199,233       人民币普通股                268,199,233
安信证券-招商银行-安信证券定
                                             247,545,593       人民币普通股                247,545,593
增宝 1 号集合资产管理计划
中国证券金融股份有限公司                     246,720,811       人民币普通股                246,720,811
苏宁易购集团股份有限公司                     178,144,246       人民币普通股                178,144,246
                                                               人民币普通股                133,427,863
江苏省苏豪控股集团有限公司                   152,327,863
                                                             境外上市外资股                18,900,000
上述股东关联关系或一致行动的说           江苏省国信集团有限公司、江苏交通控股有限公司、江苏
明                                       高科技投资集团有限公司、江苏省苏豪控股集团有限公司
                                         均为江苏省国资委所属独资企业。苏宁易购集团股份有限
                                         公司的持股 5%以上股东淘宝(中国)软件有限公司与阿里
                                         巴巴(中国)网络技术有限公司同为阿里巴巴集团控股有
                                         限公司(Alibaba Group Holding Ltd)的全资下属公司。
                                         此外,未知其他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、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。
      2、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。截至报告期末,江苏省国信集团有限公司、江苏交通控股有限公司、江苏高科技投资集团有限公司和江苏省
苏豪控股集团有限公司通过港股通分别购入了本公司 H 股股份 58,151,200 股、37,000,000 股、13,742,600 股和
18,900,000 股,此部分股份亦为香港中央结算(代理人)有限公司代为持有。本报告披露时,特将此部分股份单
独列出,若将此部分股份包含在内,香港中央结算(代理人)有限公司实际代为持有股份为 1,715,308,527 股,
占公司总股数的 18.90%。
      3、Citibank, National Association 为公司 GDR 存托人,GDR 对应的境内基础 A 股股票依法登记在其名下;
公司发行及超额配售的 GDR 自 2019 年 6 月 20 日(伦敦时间)至 2019 年 10 月 17 日(伦敦时间)不得转换为 A
股股票。
      4、截至报告期末,江苏交通控股有限公司持有的 100,000 股 A 股股票因参与转融通业务仍出借在外,若全
部归还,其实际持有公司 452,065,418 股 A 股和 37,000,000 股 H 股股份,占公司总股数的 5.39%。



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      5、苏宁易购集团股份有限公司除持有 178,144,246 股公司 A 股股票外,其境外全资子公司 Suning
International Group Co.,Limited 持有 2,439,000 份 GDR(代表 24,390,000 股公司 A 股股票),苏宁易购集团
股份有限公司及其境外全资子公司 Suning International Group Co.,Limited 合计持有权益比例为 2.23%。
      6、截至报告期末普通股股东总数中,A 股股东 226,573 户,H 股登记股东 8,251 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
                                                                                  单位:人民币元
 资产负债表项目         本期期末余额          上年年末余额       变动幅度            变动原因
货币资金              103,599,223,958.49     71,102,643,314.51     45.70%   GDR 发行及客户资金增加所
                                                                            致
结算备付金             29,166,855,113.03     19,068,365,339.98     52.96%   客户结算备付金增加所致
融出资金               60,649,471,101.40     46,188,884,860.29     31.31%   融出资金规模增加
存出保证金             10,524,083,224.34      7,836,506,104.91     34.30%   期货保证金增加所致
应收款项                4,306,543,737.74      3,090,165,422.15     39.36%   应收结算款增加
买入返售金融资产       17,685,400,201.89     43,556,564,734.21    -59.40%   逆回购规模降低
金融投资              250,265,764,299.98   148,975,237,504.15      67.99%   自营投资增加所致
在建工程                   83,940,331.91         49,025,690.37     71.22%   在建工程增加
使用权资产                817,272,139.27                     -     不适用   实施新租赁准则所致
其他资产                4,372,814,550.57      1,814,841,287.81    140.95%   预付款增加所致
短期借款                1,947,056,820.97      3,015,790,687.57    -35.44%   偿还借款所致
应付短期融资款         30,451,412,593.05     21,123,999,727.58     44.16%   短融增加所致
拆入资金                8,550,960,504.07      5,813,487,101.88     47.09%   银行拆借增加
卖出回购金融资产       98,472,620,937.71     40,095,053,613.01    145.60%   回购规模增加所致

代理买卖证券款         82,932,010,398.14     59,492,175,533.47     39.40%   客户资金增加所致
代理承销证券款              9,564,549.99          1,813,300.00    427.47%   承销结算款增加
应交税费                1,209,942,023.76        846,735,501.48     42.89%   应交所得税增加所致
应付款项               10,812,449,922.64      7,476,963,437.89     44.61%   应付结算款增加
合同负债                   11,603,505.79          7,441,733.86     55.92%   基金管理费增加
长期借款                  862,421,338.42      1,698,768,893.25    -49.23%   信用借款兑付
租赁负债                  800,087,452.70                     -     不适用   实施新租赁准则所致
其他综合收益              814,348,988.48        179,338,036.95    354.09%   其他权益投资公允价值增加
少数股东权益            3,104,706,345.20      1,356,027,004.52    128.96%   少数股东权益增加


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   利润表项目         年初至报告期期末    上年年初至报告期期   变动幅度            变动原因
                         (1-9 月)          末(1-9 月)
投资收益               5,922,367,862.82     2,118,898,378.51    179.50%    金融工具及对联营企业投资
                                                                           收益增加所致
汇兑收益                  70,574,910.92        31,896,537.20    121.26%    汇兑收益增加
其他业务收入             868,041,771.68       427,083,988.15    103.25%    子公司销售收入增长
信用减值损失             594,392,207.18       229,156,633.78    159.38%    计提减值增加所致
其他业务成本             783,092,266.53       318,737,685.46    145.69%    子公司销售成本增长
所得税费用             1,960,153,840.94     1,211,176,204.11     61.84%    应税收益增加所致
其他综合收益税后         707,574,669.24       377,733,719.59     87.32%    其他权益投资公允价值增加
净额




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、华泰紫金投资
    1)报告期内,公司全资子公司华泰紫金投资有限责任公司(以下简称“华泰紫金投资”)作
为管理人发起设立华泰紫金瑞坤契约型私募股权FOF基金。
    2)报告期内,华泰紫金投资由江苏工业和信息产业投资基金(有限合伙)的有限合伙人转变
为普通合伙人,并担任基金管理人。
    3)报告期内,华泰紫金投资通过基金份额受让形式成为江苏华泰战略新兴产业投资基金(有
限合伙)和江苏华泰互联网产业投资基金(有限合伙)的普通合伙人,并担任基金管理人。
    2、华泰国际
    1)报告期内,公司全资子公司华泰国际金融控股有限公司(以下简称“华泰国际”)的下属
子公司AssetMark Holdings LLC(注册于美国特拉华州)于2019年7月17日清盘。
    2)报告期内,姜健先生不再担任华泰国际全资子公司华泰金融控股(香港)有限公司的董事。
    3、报告期内,公司全资子公司华泰创新投资有限公司董事长由王磊先生变更为孙颖女士。
    4、报告期内,公司控股子公司华泰联合证券有限责任公司董事长由刘晓丹女士变更为江禹先
生,总裁由江禹先生变更为马骁先生。
    5、报告期内,公司控股子公司华泰期货有限公司的子公司华泰长城投资管理有限公司向其全
资子公司华泰长城国际贸易有限公司增资人民币5,000万元,增资后华泰长城国际贸易有限公司实
收资本为人民币1.5亿元。

3.3 公司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                     2019 年 10 月 29 日

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四、 附录


4.1 财务报表
                                    合并资产负债表
                                   2019 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                     2019 年 9 月 30 日          2018 年 12 月 31 日
资产:
  货币资金                                103,599,223,958.49           71,102,643,314.51
    其中:客户资金存款                     57,146,395,290.72           42,902,018,376.63
  结算备付金                               29,166,855,113.03           19,068,365,339.98
    其中:客户备付金                       22,211,554,198.75           16,044,994,914.66
  贵金属                                                      -                           -
  拆出资金                                                    -                           -
  融出资金                                 60,649,471,101.40           46,188,884,860.29
  衍生金融资产                               1,470,008,876.40           1,933,958,476.40
  存出保证金                               10,524,083,224.34            7,836,506,104.91
  应收款项                                   4,306,543,737.74           3,090,165,422.15
  应收款项融资                                                -                           -
  合同资产                                                    -                           -
  买入返售金融资产                         17,685,400,201.89           43,556,564,734.21
  持有待售资产                                                -                           -
金融投资:                                250,265,764,299.98          148,975,237,504.15
    以公允价值计量且其变动计入当                              -                           -
期损益的金融资产
    交易性金融资产                        220,144,381,185.96          122,244,331,499.24
    债权投资                               18,227,147,562.90           16,274,163,775.43
    可供出售金融资产                                          -                           -
    其他债权投资                             1,505,739,740.63              606,809,484.07
    其他权益工具投资                       10,388,495,810.49            9,849,932,745.41
    持有至到期投资                                            -                           -
  长期股权投资                             15,185,992,460.82           13,177,660,861.27
  投资性房地产                                 519,697,972.54              586,333,637.71
  固定资产                                   3,590,937,659.43           3,499,127,756.91
  在建工程                                         83,940,331.91            49,025,690.37
  使用权资产                                   817,272,139.27                             -
  无形资产                                   5,686,310,097.43           5,462,012,108.36
  商誉                                       2,352,553,954.28           2,099,412,099.41
  递延所得税资产                               173,276,167.99              225,134,860.27
  其他资产                                   4,372,814,550.57           1,814,841,287.81
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                         华泰证券股份有限公司 2019 年第三季度报告



         资产总计                         510,450,145,847.51        368,665,874,058.71
负债:
  短期借款                                   1,947,056,820.97         3,015,790,687.57
  应付短期融资款                           30,451,412,593.05         21,123,999,727.58
  拆入资金                                   8,550,960,504.07         5,813,487,101.88
  交易性金融负债                             5,730,432,002.88         5,199,989,703.32
  以公允价值计量且其变动计入当期                              -                     -
损益的金融负债
  衍生金融负债                                 718,572,676.63          776,102,030.87
  卖出回购金融资产款                       98,472,620,937.71         40,095,053,613.01
  代理买卖证券款                           82,932,010,398.14         59,492,175,533.47
  代理承销证券款                                    9,564,549.99          1,813,300.00
  应付职工薪酬                               7,976,368,935.72         7,915,032,953.00
  应交税费                                   1,209,942,023.76          846,735,501.48
  应付款项                                 10,812,449,922.64          7,476,963,437.89
  合同负债                                         11,603,505.79          7,441,733.86
  持有待售负债                                                -                     -
  预计负债                                           101,047.62                     -
  长期借款                                     862,421,338.42         1,698,768,893.25
  应付债券                                 77,559,841,002.51         62,890,730,583.32
  其中:优先股                                                -                     -
         永续债                                               -                     -
  租赁负债                                     800,087,452.70                       -
  递延收益                                                    -                     -
  递延所得税负债                             1,837,379,536.63         1,810,175,478.47
  其他负债                                 57,516,383,290.92         45,752,009,850.23
   负债合计                               387,399,208,540.15        263,916,270,129.20
所有者权益(或股东权益):
  实收资本(或股本)                         9,076,650,000.00         8,251,500,000.00
  其他权益工具                                                -                     -
  其中:优先股                                                -                     -
         永续债                                               -                     -
  资本公积                                 70,234,624,039.26         58,859,859,896.75
  减:库存股                                                  -                     -
  其他综合收益                                 814,348,988.48          179,338,036.95
  盈余公积                                   4,489,830,174.82         4,489,830,174.82
  一般风险准备                             12,456,735,115.31         12,196,945,015.12
  未分配利润                               22,874,042,644.29         19,416,103,801.35
  归属于母公司所有者权益(或股东          119,946,230,962.16        103,393,576,924.99
权益)合计
  少数股东权益                               3,104,706,345.20         1,356,027,004.52
   所有者权益(或股东权益)合计           123,050,937,307.36        104,749,603,929.51
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                         华泰证券股份有限公司 2019 年第三季度报告



    负债和所有者权益(或股东权益)        510,450,145,847.51            368,665,874,058.71
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




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                         华泰证券股份有限公司 2019 年第三季度报告



                                   母公司资产负债表
                                   2019 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                     2019 年 9 月 30 日          2018 年 12 月 31 日
资产:
  货币资金                                 68,268,110,712.24           42,413,315,457.84
   其中:客户资金存款                      47,228,811,963.56           31,760,855,525.90
  结算备付金                               29,690,117,376.86           20,259,533,365.50
   其中:客户备付金                        23,019,640,908.95           16,038,610,231.94
  贵金属                                                      -                           -
  拆出资金                                                    -                           -
  融出资金                                 59,785,573,864.40           45,387,682,848.93
  衍生金融资产                               1,260,650,804.38           1,663,164,165.24
  存出保证金                                 3,448,096,788.04           2,669,162,811.81
  应收款项                                   2,667,079,319.28           1,609,776,988.71
  应收款项融资                                                -                           -
  合同资产                                                    -                           -
  买入返售金融资产                         15,586,358,192.37           34,729,163,046.28
  持有待售资产                                                -                           -
金融投资:                                181,460,449,352.36           95,912,248,595.42
    以公允价值计量且其变动计入当                              -                           -
期损益的金融资产
   交易性金融资产                         154,902,605,450.00           71,413,963,799.21
   债权投资                                16,199,048,091.87           14,677,952,050.80
   可供出售金融资产                                           -                           -
   其他债权投资                                               -                           -
   其他权益工具投资                        10,358,795,810.49            9,820,332,745.41
   持有至到期投资                                             -                           -
  长期股权投资                             28,544,713,171.17           26,437,213,803.79
  投资性房地产                               1,374,656,488.21           1,426,027,913.71
  固定资产                                   2,512,082,611.02           2,444,069,885.86
  在建工程                                      82,953,628.89               48,965,850.37
  使用权资产                                   394,138,313.98                             -
  无形资产                                     541,051,421.07              526,962,846.50
  商誉                                                         -                          -
  递延所得税资产                                              -                           -
  其他资产                                     845,817,159.41           1,203,876,938.88
         资产总计                         396,461,849,203.68          276,731,164,518.84
负债:
  短期借款                                                    -                           -
  应付短期融资款                           30,541,941,188.18           20,927,044,004.58

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                         华泰证券股份有限公司 2019 年第三季度报告



  拆入资金                                   8,550,960,504.07             5,813,487,101.88
  交易性金融负债                               701,835,336.23             1,436,004,566.67
  以公允价值计量且其变动计入当期                              -                            -
损益的金融负债
  衍生金融负债                                 640,908,957.40               603,694,554.69
  卖出回购金融资产款                       91,784,492,510.28             34,794,768,684.66
  代理买卖证券款                           66,306,262,579.23             44,673,270,293.49
  代理承销证券款                                   9,564,549.99               1,813,300.00
  应付职工薪酬                               6,137,767,571.82             5,751,455,877.68
  应交税费                                   1,161,086,100.64               213,347,683.65
  应付款项                                   8,822,577,230.04             5,445,646,960.08
  合同负债                                                    -                            -
  持有待售负债                                                -                            -
  预计负债                                          101,047.62                             -
  长期借款                                                    -                            -
  应付债券                                 71,000,581,776.33             60,123,324,566.77
  其中:优先股                                                -                            -
       永续债                                                 -                            -
  租赁负债                                     377,964,583.68                              -
  递延收益                                                    -                            -
  递延所得税负债                               181,664,623.69               580,364,965.24
  其他负债                                   1,728,824,000.27             1,569,854,635.84
   负债合计                               287,946,532,559.47            181,934,077,195.23
所有者权益(或股东权益):
  实收资本(或股本)                         9,076,650,000.00             8,251,500,000.00
  其他权益工具                                                -                            -
  其中:优先股                                                -                            -
       永续债                                                 -                            -
  资本公积                                 69,224,038,842.15             58,621,922,798.33
  减:库存股                                                  -                            -
  其他综合收益                                 201,013,249.94              -238,269,630.14
  盈余公积                                   4,489,830,174.82             4,489,830,174.82
  一般风险准备                               9,191,569,164.13             9,191,569,164.13
  未分配利润                               16,332,215,213.17             14,480,534,816.47
   所有者权益(或股东权益)合计           108,515,316,644.21             94,797,087,323.61
负债和所有者权益(或股东权益)总          396,461,849,203.68            276,731,164,518.84



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




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                                          合并利润表
                                        2019 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
                2019 年第三季度    2018 年第三季度        2019 年前三季度       2018 年前三季度
     项目
                  (7-9 月)          (7-9 月)             (1-9 月)            (1-9 月)
一、营业总收    6,643,177,750.41   4,303,106,958.64       17,749,900,364.96     12,519,243,640.36

  利息净收        387,344,435.28     687,117,990.69       1,655,280,854.97      1,996,692,349.16

  其中:利息    2,184,673,013.55   2,236,138,751.64       6,401,282,028.33      7,075,839,330.43
收入
  利息支出      1,797,328,578.27   1,549,020,760.95       4,746,001,173.36      5,079,146,981.27
  手续费及      2,403,842,801.07   1,905,181,089.38       6,866,593,312.58      5,801,824,045.29
佣金净收入
  其中:经纪      974,576,805.89     779,672,292.15       3,217,104,454.49      2,639,771,626.99
业务手续费
净收入
  投资银行        596,465,616.69     447,678,086.31       1,200,397,710.43      1,255,367,467.15
业务手续费
净收入
  资产管理        788,702,418.68     662,719,749.07       2,188,081,059.52      1,841,632,652.96
业务手续费
净收入
  投资收益      2,750,053,671.62     -65,470,716.48       5,922,367,862.82      2,118,898,378.51
(损失以
“-”号填
列)
  其中:对联      868,821,944.21     218,121,746.03       2,148,966,267.34      1,185,475,433.39
营企业和合
营企业的投
资收益
  以摊余成                     -                      -         980,210.99                        -
本计量的金
融资产终止
确认产生的
收益(损失以
“-”号填列)
  净敞口套                     -                      -                     -                     -
期收益(损失
以“-”号填
列)
  其他收益        169,617,317.48      12,303,957.57          187,396,054.77        159,984,872.78

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  公允价值         639,971,814.28   1,637,430,019.44       2,179,202,076.50   1,982,239,713.58
变动收益(损
失以“-”号
填列)
  汇兑收益          15,504,325.81      35,861,557.58          70,574,910.92      31,896,537.20
(损失以
“-”号填
列)
  其他业务         276,268,116.16      90,625,626.72         868,041,771.68     427,083,988.15
收入
  资产处置             575,268.71           57,433.74            443,520.72         623,755.69
收益(损失以
“-”号填
列)
二、营业总支     3,608,917,431.06   2,502,787,556.26       9,300,554,523.46   6,698,783,872.25

  税金及附          37,101,184.18      35,297,928.76         114,152,591.62     107,908,573.89

  业务及管       2,886,472,584.79   2,239,618,935.77       7,808,558,147.15   6,042,837,375.52
理费
  资产减值                      -                      -                  -                  -
损失
  信用减值         447,671,305.78     168,648,099.41         594,392,207.18     229,156,633.78
损失
  其他资产           2,426,753.82      -1,889,476.65             359,310.98         143,603.60
减值损失
  其他业务         235,245,602.49      61,112,068.97         783,092,266.53     318,737,685.46
成本
三、营业利润     3,034,260,319.35   1,800,319,402.38       8,449,345,841.50   5,820,459,768.11
(亏损以
“-” 号填
列)
  加:营业外         2,755,022.58      -1,986,411.26          15,206,686.41       3,415,106.30
收入
  减:营业外         6,762,916.64      14,674,439.80          16,258,103.36      19,735,381.19
支出
四、利润总额     3,030,252,425.29   1,783,658,551.32       8,448,294,424.55   5,804,139,493.22
(亏损总额
以“-”号填
列)
  减:所得税       642,212,620.21     397,180,843.17       1,960,153,840.94   1,211,176,204.11
费用
五、净利润(净   2,388,039,805.08   1,386,477,708.15       6,488,140,583.61   4,592,963,289.11

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亏损以
“-”号填
列)
  (一)按经    2,388,039,805.08   1,386,477,708.15       6,488,140,583.61   4,592,963,289.11
营持续性分

       1.持续   2,388,039,805.08   1,386,477,708.15       6,488,140,583.61   4,592,963,289.11
经营净利润
(净亏损以
“-”号填
列)
       2.终止                  -                      -                  -                  -
经营净利润
(净亏损以
“-”号填
列)
  (二)按所    2,388,039,805.08   1,386,477,708.15       6,488,140,583.61   4,592,963,289.11
有权归属分

       1.归属   2,383,792,165.63   1,320,905,036.15       6,440,723,943.13   4,479,803,439.20
于母公司股
东的净利润
(净亏损以
“-”号填列)
       2.少数       4,247,639.45      65,572,672.00          47,416,640.48     113,159,849.91
股东损益(净
亏损以“-”
号填列)
六、其他综合       59,866,983.04     626,962,976.05         707,574,669.24     377,733,719.59
收益的税后
净额
  归属母公        -32,330,381.61     623,393,073.55         635,010,951.53     374,237,926.19
司所有者的
其他综合收
益的税后净

  (一)不能     -103,336,605.92     217,116,037.06         403,847,298.79    -114,342,073.01
重分类进损
益的其他综
合收益
       1.重新                  -                      -                  -                  -
计量设定受
益计划变动

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       2.权益                  -                      -                 -                 -
法下不能转
损益的其他
综合收益
       3.其他    -103,336,605.92     217,116,037.06         403,847,298.79   -114,342,073.01
权益工具投
资公允价值
变动
       4.企业                  -                      -                 -                 -
自身信用风
险公允价值
变动
  (二)将重      71,006,224.31      406,277,036.49         231,163,652.74    488,579,999.20
分类进损益
的其他综合
收益
       1.权益     -60,844,963.59      10,131,504.91          35,435,581.29    12,228,616.43
法下可转损
益的其他综
合收益
       2.其他     -10,392,756.79                      -      18,187,652.33                -
债权投资公
允价值变动
       3.可供                  -                      -                 -                 -
出售金融资
产公允价值
变动损益
       4.金融                  -                      -                 -                 -
资产重分类
计入其他综
合收益的金

       5.持有                  -                      -                 -                 -
至到期投资
重分类为可
供出售金融
资产损益
       6.其他        -744,195.60                      -                 -                 -
债权投资信
用损失准备
       7. 现金                 -                      -                 -                 -
流量套期储

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备(现金流量
套期损益的
有效部分)
       8.外币      142,988,140.29     396,145,531.58         177,540,419.12       476,351,382.77
财务报表折
算差额
       9.其他                   -                      -                    -                    -
  归属于少          92,197,364.65       3,569,902.50          72,563,717.71         3,495,793.40
数股东的其
他综合收益
的税后净额
七、综合收益     2,447,906,788.12   2,013,440,684.20       7,195,715,252.85     4,970,697,008.70
总额
  归属于母       2,351,461,784.02   1,944,298,109.70       7,075,734,894.66     4,854,041,365.39
公司所有者
的综合收益
总额
  归属于少          96,445,004.10      69,142,574.50         119,980,358.19       116,655,643.31
数股东的综
合收益总额
八、每股收益:
  (一)基本                 0.26                0.17                    0.75                  0.61
每股收益(元
/股)
  (二)稀释                 0.26                0.17                    0.75                  0.61
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




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                                         母公司利润表
                                        2019 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
                  2019 年第三季度     2018 年第三季度      2019 年前三季度       2018 年前三季度
       项目
                     (7-9 月)          (7-9 月)          (1-9 月)             (1-9 月)
一、营业总收入    3,408,884,207.32    2,548,115,232.30    10,322,116,685.15      8,075,968,290.12
利息净收入          210,592,919.90      466,660,006.47    1,125,752,269.79       1,426,233,301.96
  其中:利息收    1,840,214,224.85    1,902,466,514.52    5,382,419,035.12       6,189,109,205.09

  利息支出        1,629,621,304.95    1,435,806,508.05    4,256,666,765.33       4,762,875,903.13
手续费及佣金净      966,243,458.67      752,372,097.33    3,286,665,634.11       2,557,522,189.42
收入
  其中:经纪业      863,807,460.88      663,647,478.82    2,982,822,508.82       2,380,859,055.78
务手续费净收入
  投资银行业务       84,449,367.23       76,463,516.20       243,837,464.86        118,720,657.66
手续费净收入
  资产管理业务                    -                   -                      -                   -
手续费净收入
投资收益(损失    1,760,532,596.25      -42,184,280.66    4,327,668,895.04       2,394,772,971.48
以”-”号填
列)
  其中:对联营      348,321,873.64      312,294,495.72       823,582,101.09        944,862,999.11
企业和合营企业
的投资收益
  以摊余成本计                    -                   -          980,210.99                      -
量的金融资产终
止确认产生的收
益(损失以“-”
号填列)
净敞口套期收益                    -                   -                      -                   -
(损失以“-”号
填列)
其他收益              6,817,546.33        5,250,665.81       15,588,139.84          26,069,223.27
公允价值变动收      403,444,572.47    1,292,304,951.53    1,424,224,301.88       1,536,260,035.78
益(损失以”
-”号填列)
汇兑收益(损失       15,318,719.05       36,246,463.49       60,629,898.15          42,421,539.32
以”-”号填
列)
其他业务收入         45,339,656.32       37,458,355.09       81,201,991.16          92,011,626.92
资产处置收益            594,738.33            6,973.24           385,555.18            677,401.97
(损失以“-”

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号填列)
二、营业总支出     1,864,603,959.66   1,314,630,165.55     4,751,455,705.33    3,260,151,643.77
税金及附加            31,338,840.89      28,689,182.86       101,025,760.88       90,456,761.54
业务及管理费       1,507,958,429.90   1,098,983,902.59     4,154,355,955.23    2,882,262,818.95
资产减值损失                      -                   -                   -                   -
信用减值损失         313,091,008.09     173,023,413.88       459,185,813.77      243,797,893.29
其他资产减值损                    -                   -                   -                   -

其他业务成本          12,215,680.78      13,933,666.22        36,888,175.45       43,634,169.99
三、营业利润(亏   1,544,280,247.66   1,233,485,066.75     5,570,660,979.82    4,815,816,646.35
损以”-”号填
列)
加:营业外收入         1,629,195.19      -2,447,270.94          8,778,062.73       2,801,127.35
减:营业外支出         4,946,022.68       6,385,699.07          7,780,494.92      10,207,044.58
四、利润总额(亏   1,540,963,420.17   1,224,652,096.74     5,571,658,547.63    4,808,410,729.12
损总额以”-”
号填列)
减:所得税费用       298,159,038.86     224,014,400.24       996,983,150.93      597,497,851.70
五、净利润(净     1,242,804,381.31   1,000,637,696.50     4,574,675,396.70    4,210,912,877.42
亏损以”-”号
填列)
(一)持续经营     1,242,804,381.31   1,000,637,696.50     4,574,675,396.70    4,210,912,877.42
净利润(净亏损
以“-”号填
列)
(二)终止经营                    -                   -                   -                   -
净利润(净亏损
以“-”号填
列)
六、其他综合收      -164,181,569.51     227,247,541.97       439,282,880.08     -114,338,456.58
益的税后净额
(一)不能重分      -103,336,605.92     217,116,037.06       403,847,298.79     -126,567,073.01
类进损益的其他
综合收益
1.重新计量设定                   -                   -                   -                   -
受益计划变动额
2.权益法下不能                   -                   -                   -                   -
转损益的其他综
合收益
3.其他权益工具     -103,336,605.92     217,116,037.06       403,847,298.79     -126,567,073.01
投资公允价值变

4.企业自身信用                   -                   -                   -                   -
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风险公允价值变

(二)将重分类       -60,844,963.59      10,131,504.91        35,435,581.29      12,228,616.43
进损益的其他综
合收益
1.权益法下可转       -60,844,963.59      10,131,504.91        35,435,581.29      12,228,616.43
损益的其他综合
收益
2.其他债权投资                    -                   -                   -                   -
公允价值变动
3.可供出售金融                    -                   -                   -                   -
资产公允价值变
动损益
4.金融资产重分                    -                   -                   -                   -
类计入其他综合
收益的金额
5.持有至到期投                    -                   -                   -                   -
资重分类为可供
出售金融资产损

6.其他债权投资                    -                   -                   -                   -
信用损失准备
7.现金流量套期                    -                   -                   -                   -
储备(现金流量
套期损益的有效
部分)
8.外币财务报表                    -                   -                   -                   -
折算差额
9.其他                            -                   -                   -                   -
七、综合收益总     1,078,622,811.80   1,227,885,238.47     5,013,958,276.78   4,096,574,420.84

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




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                                    合并现金流量表
                                    2019 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
                                             2019年前三季度             2018年前三季度
                项目
                                                (1-9月)                  (1-9月)
一、经营活动产生的现金流量:
  销售商品、提供劳务收到的现金                                      -                    -
  向其他金融机构拆入资金净增加额                                    -                    -
  收取利息、手续费及佣金的现金                17,439,894,141.36         13,712,584,906.48
  拆入资金净增加额                             2,754,576,163.10          1,838,408,919.20
  融出资金净减少额                                                  -   13,153,293,772.19
  回购业务资金净增加额                        74,776,609,988.77         28,174,357,600.61
  代理买卖证券收到的现金净额                  23,435,462,675.59                          -
  收到其他与经营活动有关的现金                23,642,356,044.61          3,325,979,061.28
    经营活动现金流入小计                     142,048,899,013.43         60,204,624,259.76
  融出资金净增加额                            14,251,943,586.29                          -
  为交易目的而持有的金融资产净增加额          95,487,947,053.35          7,391,077,833.99
  拆出资金净增加额                                                  -                    -
  返售业务资金净增加额                                              -                    -
  代理买卖证券支付的现金净额                                        -    6,605,074,201.98
  支付利息、手续费及佣金的现金                 3,967,337,742.88          4,534,506,251.87
  支付给职工及为职工支付的现金                 5,133,656,327.94          4,988,749,815.26
  支付的各项税费                               1,874,529,006.23          1,508,896,499.11
  支付其他与经营活动有关的现金                12,388,396,108.79          8,871,722,699.65
    经营活动现金流出小计                     133,103,809,825.48         33,900,027,301.86
      经营活动产生的现金流量净额               8,945,089,187.95         26,304,596,957.90
二、投资活动产生的现金流量:
  收回投资收到的现金                               174,100,830.15                        -
  取得投资收益收到的现金                           589,682,411.46          511,721,489.03
  处置固定资产、无形资产和其他长期资                                -                    -
产收回的现金净额
  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                       1,452,794.78          171,372,208.89
    投资活动现金流入小计                           765,236,036.39          683,093,697.92
  投资支付的现金                               1,942,876,768.72         14,636,995,178.96
  购建固定资产、无形资产和其他长期资           1,033,802,133.39            610,236,485.98
产支付的现金
  取得子公司及其他营业单位支付的现金               646,354,013.52           18,150,000.00
净额
  支付其他与投资活动有关的现金                     207,715,132.00            2,686,624.20

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   投资活动现金流出小计                         3,830,748,047.63          15,268,068,289.14
      投资活动产生的现金流量净额               -3,065,512,011.24         -14,584,974,591.22
三、筹资活动产生的现金流量:
  吸收投资收到的现金                           13,620,372,744.40          14,207,942,160.00
  其中:子公司吸收少数股东投资收到的            2,033,711,336.44                         -
现金
  取得借款收到的现金                                                 -     1,224,754,007.75
  发行债券收到的现金                           87,537,661,096.53          36,999,220,000.00
  收到其他与筹资活动有关的现金                                       -                   -
   筹资活动现金流入小计                       101,158,033,840.93          52,431,916,167.75
  偿还债务支付的现金                           66,665,223,646.42          57,562,260,000.00
  分配股利、利润或偿付利息支付的现金            5,066,772,991.72           3,339,549,353.42
  其中:子公司支付给少数股东的股利、                    648,000.00                       -
利润
  支付其他与筹资活动有关的现金                      176,736,497.14            74,736,488.79
   筹资活动现金流出小计                        71,908,733,135.28          60,976,545,842.21
      筹资活动产生的现金流量净额               29,249,300,705.65          -8,544,629,674.46
四、汇率变动对现金及现金等价物的影响                305,384,762.56           147,589,482.89
五、现金及现金等价物净增加额                   35,434,262,644.92           3,322,582,175.11
  加:期初现金及现金等价物余额                 99,628,861,431.84          96,682,132,974.24
六、期末现金及现金等价物余额                  135,063,124,076.76         100,004,715,149.35


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




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                                   母公司现金流量表
                                     2019 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
                                             2019年前三季度             2018年前三季度
                项目
                                                (1-9月)                  (1-9月)
一、经营活动产生的现金流量:
  销售商品、提供劳务收到的现金                                      -                    -
  向其他金融机构拆入资金净增加额                                    -                    -
  收取利息、手续费及佣金的现金                11,630,524,458.32           9,385,600,815.33
  拆入资金净增加额                             2,754,576,163.10           1,838,408,919.20
  融出资金净减少额                                                  -    13,530,235,885.65
  回购业务资金净增加额                        73,294,823,009.53          21,972,947,336.18
  代理买卖证券收到的现金净额                  21,633,921,818.04                          -
  收到其他与经营活动有关的现金                 4,389,579,112.08           1,630,258,677.42
    经营活动现金流入小计                     113,703,424,561.07          48,357,451,633.78
  融出资金净增加额                            14,251,943,586.29                          -
  为交易目的而持有的金融资产净增加额          80,037,880,701.51          11,819,717,005.14
  拆出资金净增加额                                                  -                    -
  返售业务资金净增加额                                              -                    -
  代理买卖证券支付的现金净额                                        -     3,171,962,325.62
  支付利息、手续费及佣金的现金                 3,313,389,725.24           2,938,426,869.15
  支付给职工及为职工支付的现金                 2,472,951,616.85           2,532,070,549.63
  支付的各项税费                                   849,220,833.68          911,212,393.72
  支付其他与经营活动有关的现金                 2,723,186,241.72           3,405,922,775.44
    经营活动现金流出小计                     103,648,572,705.29          24,779,311,918.70
      经营活动产生的现金流量净额              10,054,851,855.78          23,578,139,715.08
二、投资活动产生的现金流量:
  收回投资收到的现金                                                -        25,425,000.00
  取得投资收益收到的现金                       1,190,206,378.21           1,974,095,489.03
  处置固定资产、无形资产和其他长期资                                -                    -
产收回的现金净额
  收到其他与投资活动有关的现金                       1,243,272.60             3,522,527.66
    投资活动现金流入小计                       1,191,449,650.81           2,003,043,016.69
  投资支付的现金                               1,584,011,053.84          14,636,995,178.96
  购建固定资产、无形资产和其他长期资               488,807,908.48          492,566,340.19
产支付的现金
  取得子公司及其他营业单位支付的现金           1,526,622,240.00            513,330,201.89
净额
  支付其他与投资活动有关的现金                                      -                    -
    投资活动现金流出小计                       3,599,441,202.32          15,642,891,721.04
      投资活动产生的现金流量净额              -2,407,991,551.51         -13,639,848,704.35

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三、筹资活动产生的现金流量:
  吸收投资收到的现金                           11,586,661,407.96          14,207,942,160.00
  取得借款收到的现金                                                 -                   -
  发行债券收到的现金                           84,666,990,000.00          37,049,220,000.00
  收到其他与筹资活动有关的现金                                       -                   -
   筹资活动现金流入小计                        96,253,651,407.96          51,257,162,160.00
  偿还债务支付的现金                           65,367,384,000.00          57,562,260,000.00
  分配股利、利润或偿付利息支付的现金            4,887,363,031.67           3,250,111,926.17
  支付其他与筹资活动有关的现金                      134,295,836.45            74,736,488.79
   筹资活动现金流出小计                        70,389,042,868.12          60,887,108,414.96
      筹资活动产生的现金流量净额               25,864,608,539.84          -9,629,946,254.96
四、汇率变动对现金及现金等价物的影响                 60,629,898.15            -1,813,198.69
五、现金及现金等价物净增加额                   33,572,098,742.26             306,531,557.08
  加:期初现金及现金等价物余额                 70,528,807,525.75          70,167,178,730.22
六、期末现金及现金等价物余额                  104,100,906,268.01          70,473,710,287.30


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




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4.2 首次执行新金融工具准则、新收入准则、新租赁准则调整首次执行当年年初财务报表相关项

   目情况
√适用 □不适用
                                      合并资产负债表
                                                                      单位:元 币种:人民币
             项目            2018 年 12 月 31 日       2019 年 1 月 1 日          调整数
资产:
  货币资金                    71,102,643,314.51       71,102,643,314.51                    -
   其中:客户资金存款         42,902,018,376.63       42,902,018,376.63                    -
  结算备付金                  19,068,365,339.98       19,068,365,339.98                    -
   其中:客户备付金           16,044,994,914.66       16,044,994,914.66                    -
  贵金属                                         -                         -               -
  拆出资金                                       -                         -               -
  融出资金                    46,188,884,860.29       46,188,884,860.29                    -
  衍生金融资产                 1,933,958,476.40        1,933,958,476.40                    -
  存出保证金                   7,836,506,104.91        7,836,506,104.91                    -
  应收款项                     3,090,165,422.15        3,090,165,422.15                    -
  应收款项融资                                   -                         -               -
  合同资产                                       -                         -               -
  买入返售金融资产            43,556,564,734.21       43,556,564,734.21                    -
  持有待售资产                                   -                         -               -
  金融投资:                 148,975,237,504.15      148,975,237,504.15                    -
    以公允价值计量且其变                         -                         -               -
动计入当期损益的金融资产
   交易性金融资产            122,244,331,499.24      122,244,331,499.24                    -
   债权投资                   16,274,163,775.43       16,274,163,775.43                    -
   可供出售金融资产                              -                         -               -
   其他债权投资                  606,809,484.07          606,809,484.07                    -
   其他权益工具投资            9,849,932,745.41        9,849,932,745.41                    -
   持有至到期投资                                -                         -               -
  长期股权投资                13,177,660,861.27       13,177,660,861.27                    -
  投资性房地产                   586,333,637.71          586,333,637.71                    -
  固定资产                     3,499,127,756.91        3,499,127,756.91                    -
  在建工程                        49,025,690.37            49,025,690.37                   -
  使用权资产                                     -       725,265,299.88        725,265,299.88
  无形资产                     5,462,012,108.36        5,462,012,108.36                    -
  商誉                         2,099,412,099.41        2,099,412,099.41                    -
  递延所得税资产                 225,134,860.27          225,134,860.27                    -
  其他资产                     1,814,841,287.81        1,796,900,620.26        -17,940,667.55
         资产总计            368,665,874,058.71      369,373,198,691.04        707,324,632.33
负债:
                                           25 / 29
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  短期借款                     3,015,790,687.57        3,015,790,687.57                -
  应付短期融资款              21,123,999,727.58       21,123,999,727.58                -
  拆入资金                     5,813,487,101.88        5,813,487,101.88                -
  交易性金融负债               5,199,989,703.32        5,199,989,703.32                -
  以公允价值计量且其变动                         -                    -                -
计入当期损益的金融负债
  衍生金融负债                   776,102,030.87          776,102,030.87                -
  卖出回购金融资产款          40,095,053,613.01       40,095,053,613.01                -
  代理买卖证券款              59,492,175,533.47       59,492,175,533.47                -
  代理承销证券款                    1,813,300.00            1,813,300.00               -
  应付职工薪酬                 7,915,032,953.00        7,915,032,953.00                -
  应交税费                       846,735,501.48          846,735,501.48                -
  应付款项                     7,476,963,437.89        7,476,963,437.89                -
  合同负债                          7,441,733.86            7,441,733.86               -
  持有待售负债                                   -                    -                -
  预计负债                                       -            101,047.62      101,047.62
  长期借款                     1,698,768,893.25        1,698,768,893.25                -
  应付债券                    62,890,730,583.32       62,890,730,583.32                -
  其中:优先股                                   -                    -                -
        永续债                                   -                    -                -
  租赁负债                                       -       707,223,584.71    707,223,584.71
  递延收益                                       -                    -                -
  递延所得税负债               1,810,175,478.47        1,810,175,478.47                -
  其他负债                    45,752,009,850.23       45,752,009,850.23                -
    负债合计                 263,916,270,129.20      264,623,594,761.53    707,324,632.33
所有者权益(或股东权益):
  实收资本(或股本)           8,251,500,000.00        8,251,500,000.00                -
  其他权益工具                                   -                    -                -
  其中:优先股                                   -                    -                -
        永续债                                   -                    -                -
  资本公积                    58,859,859,896.75       58,859,859,896.75                -
  减:库存股                                     -                    -                -
  其他综合收益                   179,338,036.95          179,338,036.95                -
  盈余公积                     4,489,830,174.82        4,489,830,174.82                -
  一般风险准备                12,196,945,015.12       12,196,945,015.12                -
  未分配利润                  19,416,103,801.35       19,416,103,801.35                -
  归属于母公司所有者权益     103,393,576,924.99      103,393,576,924.99                -
(或股东权益)合计
  少数股东权益                 1,356,027,004.52        1,356,027,004.52                -
    所有者权益(或股东权     104,749,603,929.51      104,749,603,929.51                -
益)合计
    负债和所有者权益(或     368,665,874,058.71      369,373,198,691.04    707,324,632.33

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股东权益)总计


各项目调整情况的说明:
□适用 √不适用

                                      母公司资产负债表
                                                                           单位:元 币种:人民币
             项目            2018 年 12 月 31 日       2019 年 1 月 1 日           调整数
资产:
  货币资金                    42,413,315,457.84        42,413,315,457.84                    -
   其中:客户资金存款         31,760,855,525.90        31,760,855,525.90                    -
  结算备付金                  20,259,533,365.50        20,259,533,365.50                    -
   其中:客户备付金           16,038,610,231.94        16,038,610,231.94                    -
  贵金属                                         -                          -               -
  拆出资金                                       -                          -               -
  融出资金                    45,387,682,848.93        45,387,682,848.93                    -
  衍生金融资产                 1,663,164,165.24          1,663,164,165.24                   -
  存出保证金                   2,669,162,811.81          2,669,162,811.81                   -
  应收款项                     1,609,776,988.71          1,609,776,988.71                   -
  应收款项融资                                   -                          -               -
  合同资产                                       -                          -               -
  买入返售金融资产            34,729,163,046.28        34,729,163,046.28                    -
  持有待售资产                                   -                          -               -
  金融投资:                  95,912,248,595.42        95,912,248,595.42                    -
    以公允价值计量且其变                         -                          -               -
动计入当期损益的金融资产
   交易性金融资产             71,413,963,799.21        71,413,963,799.21                    -
   债权投资                   14,677,952,050.80        14,677,952,050.80                    -
   可供出售金融资产                              -                          -               -
   其他债权投资                                  -                          -               -
   其他权益工具投资            9,820,332,745.41          9,820,332,745.41                   -
   持有至到期投资                                -                          -               -
  长期股权投资                26,437,213,803.79        26,437,213,803.79                    -
  投资性房地产                 1,426,027,913.71          1,426,027,913.71                   -
  固定资产                     2,444,069,885.86          2,444,069,885.86                   -
  在建工程                        48,965,850.37             48,965,850.37                   -
  使用权资产                                     -         438,953,351.46       438,953,351.46
  无形资产                       526,962,846.50            526,962,846.50                   -
  商誉                                           -                          -               -
  递延所得税资产                                 -                          -               -
  其他资产                     1,203,876,938.88          1,188,529,343.35       -15,347,595.53
   资产总计                  276,731,164,518.84       277,154,770,274.77        423,605,755.93

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负债:
  短期借款                                       -                      -                -
  应付短期融资款              20,927,044,004.58        20,927,044,004.58                 -
  拆入资金                     5,813,487,101.88          5,813,487,101.88                -
  交易性金融负债               1,436,004,566.67          1,436,004,566.67                -
  以公允价值计量且其变动                         -                      -                -
计入当期损益的金融负债
  衍生金融负债                   603,694,554.69            603,694,554.69                -
  卖出回购金融资产款          34,794,768,684.66        34,794,768,684.66                 -
  代理买卖证券款              44,673,270,293.49        44,673,270,293.49                 -
  代理承销证券款                    1,813,300.00             1,813,300.00                -
  应付职工薪酬                 5,751,455,877.68          5,751,455,877.68                -
  应交税费                       213,347,683.65            213,347,683.65                -
  应付款项                     5,445,646,960.08          5,445,646,960.08                -
  合同负债                                       -                      -                -
  持有待售负债                                   -                      -                -
  预计负债                                       -              101,047.62      101,047.62
  长期借款                                       -                      -                -
  应付债券                    60,123,324,566.77        60,123,324,566.77                 -
  其中:优先股                                   -                      -                -
         永续债                                  -                      -                -
  租赁负债                                       -         423,504,708.31    423,504,708.31
  递延收益                                       -                      -                -
  递延所得税负债                 580,364,965.24            580,364,965.24                -
  其他负债                     1,569,854,635.84          1,569,854,635.84                -
    负债合计                 181,934,077,195.23       182,357,682,951.16     423,605,755.93
所有者权益(或股东权益):
  实收资本(或股本)           8,251,500,000.00          8,251,500,000.00                -
  其他权益工具                                   -                      -                -
  其中:优先股                                   -                      -                -
         永续债                                  -                      -                -
  资本公积                    58,621,922,798.33        58,621,922,798.33                 -
  减:库存股                                     -                      -                -
  其他综合收益                  -238,269,630.14           -238,269,630.14                -
  盈余公积                     4,489,830,174.82          4,489,830,174.82                -
  一般风险准备                 9,191,569,164.13          9,191,569,164.13                -
  未分配利润                  14,480,534,816.47        14,480,534,816.47                 -
所有者权益(或股东权益)      94,797,087,323.61        94,797,087,323.61                 -
合计
负债和所有者权益(或股东     276,731,164,518.84       277,154,770,274.77     423,605,755.93
权益)总计


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                         华泰证券股份有限公司 2019 年第三季度报告



各项目调整情况的说明:
□适用 √不适用



4.3 首次执行新金融工具准则、新租赁准则追溯调整前期比较数据的说明
□适用 √不适用



4.4 审计报告
□适用 √不适用




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