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股票

东吴证券:2020第三季度报告[一]

来源:巨灵信息

2020-10-31 00:00:00

    公司代码:601555 公司简称:东吴证券
    
    东吴证券股份有限公司
    
    2020年第三季度报告
    
    目录
    
    一、 重要提示.................................................................. 3
    
    二、 公司基本情况.............................................................. 3
    
    三、 重要事项.................................................................. 6
    
    四、 附录...................................................................... 9
    
    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
             朱剑                 董事               公务原因               郑刚
            朱建根                董事               公务原因               郑刚
    
    
    1.3公司负责人范力、主管会计工作负责人袁维静及会计机构负责人(会计主管人员)王菁保证
    
    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              上年度末          本报告期末比上年度末增
                                                                           减(%)
     总资产           108,386,928,224.14       96,234,645,048.15                    12.63
     归属于上市公司    27,603,024,292.94       20,955,913,171.46                    31.72
     股东的净资产
                       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    -3,564,473,672.06       -1,395,853,739.31                        -
     现金流量净额
                       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           5,332,318,250.35        3,892,726,162.56                    36.98
     归属于上市公司     1,491,742,764.76          925,851,087.99                    61.12
     股东的净利润
     归属于上市公司
     股东的扣除非经     1,490,627,828.84          922,836,291.93                    61.53
     常性损益的净利
     润
     加权平均净资产                 5.90                    4.54        增加1.36个百分点
     收益率(%)
     基本每股收益                   0.41                    0.29                    41.38
     (元/股)
     稀释每股收益                   0.41                    0.29                    41.38
     (元/股)
    
    
    非经常性损益项目和金额
    
    √适用□不适用
    
    单位:元 币种:人民币
    
             项目               本期金额        年初至报告期末金额           说明
                               (7-9月)           (1-9月)
     非流动资产处置损益            -263,619.27       -2,059,575.14
     计入当期损益的政府
     补助,但与公司正常经
     营业务密切相关,符合
     国家政策规定、按照一           908,955.11        8,127,380.15
     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          -1,560,623.88      -13,368,381.84
     他营业外收入和支出
     其他符合非经常性损              59,646.81       10,272,221.77
     益定义的损益项目
     少数股东权益影响额             -23,864.17       -1,365,904.88
     (税后)
     所得税影响额                   267,791.28         -490,804.14
             合计                  -611,714.12        1,114,935.92
    
    
    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)                                                                           110559
                                           前十名股东持股情况
          股东名称(全称)        期末持股数    比例   持有有限       质押或冻结情况       股东性质
                                      量        (%)    售条件股   股份状态      数量
                                                        份数量
     苏州国际发展集团有限公司     917,220,819   23.64          0    质押      260,000,000   国有法人
     中新苏州工业园区投资管理有   130,000,000    3.35          0     无                0   国有法人
     限公司
     张家港市直属公有资产经营有   115,790,030    2.98          0     无                0   国有法人
     限公司
     中国证券金融股份有限公司     114,273,835    2.94          0     无                0     未知
     苏州高新国有资产经营管理集    91,000,000    2.35          0     无                0   国有法人
     团有限公司
     苏州营财投资集团有限公司      83,952,120    2.16          0     无                0   国有法人
     苏州工业园区国有资产控股发    80,382,601    2.07          0     无                0   国有法人
     展有限公司
     苏州物资控股(集团)有限责    71,300,892    1.84          0     无                0   国有法人
     任公司
     苏州信托有限公司              69,056,000    1.78          0     无                0   国有法人
     中国建设银行股份有限公司-    61,907,518    1.60          0                        0     未知
     国泰中证全指证券公司交易型                                      无
     开放式指数证券投资基金
                                      前十名无限售条件股东持股情况
     股东名称                                 持有无限售条件流通股的          股份种类及数量
                                                       数量                 种类           数量
     苏州国际发展集团有限公司                             917,220,819   人民币普通股     917,220,819
     中新苏州工业园区投资管理有限公司                     130,000,000   人民币普通股     130,000,000
     张家港市直属公有资产经营有限公司                     115,790,030   人民币普通股     115,790,030
     中国证券金融股份有限公司                             114,273,835   人民币普通股     114,273,835
     苏州高新国有资产经营管理集团有限公司                  91,000,000   人民币普通股      91,000,000
     苏州营财投资集团有限公司                              83,952,120   人民币普通股      83,952,120
     苏州工业园区国有资产控股发展有限公司                  80,382,601   人民币普通股      80,382,601
     苏州物资控股(集团)有限责任公司                      71,300,892   人民币普通股      71,300,892
     苏州信托有限公司                                      69,056,000   人民币普通股      69,056,000
     中国建设银行股份有限公司-国泰中证全指                61,907,518   人民币普通股      61,907,518
     证券公司交易型开放式指数证券投资基金
     上述股东关联关系或一致行动的说明        苏州国际发展集团有限公司和苏州营财投资集团有限公司、苏
                                             州信托有限公司之间为存在控制关系的关联方。苏州国际发展
                                             集团有限公司持有苏州营财投资集团有限公司100%的股权,同
                                             时持有苏州信托有限公司70.01%的股权,因此,苏州国际发展
                                             集团有限公司、苏州营财投资集团有限公司和苏州信托有限公
                                             司为一致行动人。未发现上述其他股东之间存在关联关系,也
                                             未发现上述其他股东属于《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量的说明  无
    
    
    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
    
    资产负债表项目
    
          项目         2020年9月30日     2019年12月31日    增减比例        变动原因
                                                           (%)
     融出资金        17,836,990,663.78  11,603,902,720.20     53.72  主要是由于本期末融
                                                                     出资金规模增加所致
                                                                     主要是由于本期末期
     衍生金融资产         8,112,492.30         515,945.01   1472.36  权形成的衍生金融资
                                                                     产增加所致
                                                                     主要是由于本期末应
     应收款项         3,486,674,244.80     157,516,730.15   2113.53  收经纪及交易商款项
                                                                     增加所致
     商誉               323,198,056.54     149,905,260.26    115.60  主要是由于本期购买
                                                                     子公司商誉增加所致
     短期借款         4,383,575,815.02     362,188,067.17   1110.30  主要是由于本期子公
                                                                     司短期借款增加所致
                                                                     主要是由于本期末合
     交易性金融负     3,335,649,509.59   5,609,206,692.41    -40.53  并结构化主体产生的
     债                                                              交易性金融负债减少
                                                                     所致
                                                                     主要是由于本期末期
     衍生金融负债         6,821,972.44       4,923,382.96     38.56  权形成的衍生金融负
                                                                     债增加所致
     代理承销证券                                                    主要是由于本期末代
     款                   1,940,000.00                            -  理承销证券款规模增
                                                                     加所致
                                                                     主要是由于本期末应
     应交税费           407,197,127.10     116,009,444.57    251.00  交企业所得税增加所
                                                                     致
                                                                     主要是由于本期末应
     应付票据           421,070,000.00      30,000,000.00   1303.57  付银行承兑汇票增加
                                                                     所致
                                                                     主要是由于本期末经
     应付款项            79,012,285.22      39,020,993.89    102.49  营性应付款项增加所
                                                                     致
     合同负债               993,810.43                            -  主要是由于公司实施
                                                                     新收入准则影响所致
     其他负债         1,220,519,909.35   2,032,068,150.66    -39.94  主要是由于本期末合
                                                                     并结构化主体形成的
                                                                     其他负债减少所致
     资本公积        16,735,135,214.40  11,765,216,102.69     42.24  主要是由于本期配股
                                                                     增资所致
                                                                     主要是由于本期其他
     其他综合收益      -158,414,120.02     125,477,406.24   -226.25  权益工具投资公允价
                                                                     值变动所致
    
    
    利润表项目
    
          项目         2020年1-9月       2019年1-9月       增减比例        变动原因
                                                           (%)
     利息净收入        468,360,723.79     278,993,457.80       67.88  主要是由于本期利息
                                                                      支出减少所致
     手续费及佣金净                                                   主要是由于经纪业务、
     收入            2,006,440,439.51   1,432,216,403.11       40.09  投行业务手续费净收
                                                                      入增加所致
     其中:经纪业务  1,093,261,421.81     811,224,588.16       34.77  主要是由于经纪业务
     手续费净收入                                                     交易量增加所致
           投资银行                                                   主要是由于承销业务
     业务手续费净收    708,215,770.84     375,225,470.79       88.74  收入增加所致
     入
                                                                      主要是由于报告期内
     投资收益        1,587,226,670.10   1,107,883,674.09       43.27  金融工具投资收益增
                                                                      加所致
     其中:对联营企                                                   主要是由于报告期内
     业和合营企业的     83,926,025.72      44,795,624.75       87.35  对联营企业的投资收
     投资收益                                                         益增加所致
                                                                      主要是由于报告期内
     其他收益           18,399,601.92       8,454,396.64      117.63  个税手续费返还增加
                                                                      所致
     公允价值变动收                                                   主要是由于报告期内
     益                228,394,807.22     102,313,444.11      123.23  金融工具的公允价值
                                                                      变动所致
     汇兑收益           -1,135,124.17       2,581,294.32     -143.97  主要是由于汇率变动
                                                                      所致
     资产处置收益       -1,766,285.12          -7,800.93           -  主要是由于固定资产
                                                                      处置亏损增加所致
     税金及附加         34,498,649.32      25,739,708.15       34.03  主要是由于附加税费
                                                                      增加所致
                                                                      主要是由于买入返售
     信用减值损失      530,764,837.49      35,713,182.47     1386.19  金融资产信用减值损
                                                                      失增加所致
     其他资产减值损                        30,650,788.47     -100.00  主要是由于商誉减值
     失                                                               损失减少所致
     营业外收入          2,399,766.17         951,608.79      152.18  主要是由于报告期内
                                                                      营业外收入增加所致
                                                                      主要是由于报告期内
     营业外支出         16,061,438.03       3,351,009.56      379.30  新冠疫情捐赠支出所
                                                                      致
     所得税费用        451,184,247.41     323,740,422.21       39.37  主要是由于报告期内
                                                                      利润总额增加所致
     其他综合收益的                                                   主要是由于报告期内
     税后净额         -193,588,613.33      44,316,180.26     -536.84  其他权益工具投资的
                                                                      公允价值变动所致
    
    
    现金流量表项目
    
          项目          2020年1-9月        2019年1-9月     增减比例        变动原因
                                                           (%)
     经营活动产生                                                    主要是由于回购业务
     的现金流量净    -3,564,473,672.06  -1,395,853,739.31         -  资金净增加额减少所
     额                                                              致
     投资活动产生                                                    主要是由于收回投资
     的现金流量净        57,621,366.64     -97,270,661.10         -  所收到的现金增加所
     额                                                              致
     筹资活动产生                                                    主要是由于取得借款
     的现金流量净     8,177,810,703.24   6,273,542,631.55     30.35  和吸收投资收到的现
     额                                                              金增加所致
     汇率变动对现       -45,046,403.70      27,856,189.32    -261.71  主要是由于汇率变动
     金的影响                                                        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
    
    3.3公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       东吴证券股份有限公司
       法定代表人              范力
          日期           2020年10月31日
    
    
    四、附录
    
    4.1财务报表
    
    合并资产负债表
    
    2020年9月30日
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
                   项目                    2020年9月30日            2019年12月31日
     资产:
       货币资金                               22,034,115,425.55         18,198,632,387.91
         其中:客户资金存款                   18,298,768,914.11         14,885,031,765.25
       结算备付金                              4,202,179,804.76          3,352,807,143.85
         其中:客户备付金                      3,707,927,317.72          3,043,809,592.17
       融出资金                               17,836,990,663.78         11,603,902,720.20
       衍生金融资产                                8,112,492.30                515,945.01
       存出保证金                              2,651,086,121.49          2,578,212,328.38
       应收票据                                                                 60,000.00
       应收款项                                3,486,674,244.80            157,516,730.15
       买入返售金融资产                        8,320,204,263.01          9,806,267,228.49
     金融投资:
         交易性金融资产                       35,571,253,761.39         37,142,619,699.52
         债权投资                                179,390,707.03            142,062,707.25
         其他债权投资                          6,023,488,844.35          5,796,376,967.37
         其他权益工具投资                      4,300,940,852.58          4,372,178,679.85
       长期股权投资                            1,513,954,770.96          1,179,023,133.40
       固定资产                                  645,594,239.43            676,034,148.75
       无形资产                                  203,249,532.89            187,413,953.50
       商誉                                      323,198,056.54            149,905,260.26
       递延所得税资产                            779,763,871.99            620,316,429.24
       其他资产                                  306,730,571.29            270,799,585.02
             资产总计                        108,386,928,224.14         96,234,645,048.15
     负债:
       短期借款                                4,383,575,815.02            362,188,067.17
       应付短期融资款                          6,293,785,328.31          4,894,327,023.67
       交易性金融负债                          3,335,649,509.59          5,609,206,692.41
       衍生金融负债                                6,821,972.44              4,923,382.96
       卖出回购金融资产款                     12,908,160,398.69         13,125,823,986.35
       代理买卖证券款                         23,854,736,712.93         19,734,231,640.82
       代理承销证券款                              1,940,000.00
       应付职工薪酬                              880,546,978.38            786,812,209.05
       应交税费                                  407,197,127.10            116,009,444.57
       应付票据                                  421,070,000.00             30,000,000.00
       应付款项                                   79,012,285.22             39,020,993.89
       合同负债                                      993,810.43
       应付债券                               26,678,647,523.22         28,239,590,639.74
       递延所得税负债                              4,561,814.26              4,650,589.76
       其他负债                                1,220,519,909.35          2,032,068,150.66
         负债合计                             80,477,219,184.94         74,978,852,821.05
     所有者权益(或股东权益):
       实收资本(或股本)                      3,880,518,908.00          3,000,000,000.00
       资本公积                               16,735,135,214.40         11,765,216,102.69
       减:库存股                                 19,220,540.31             19,220,540.31
       其他综合收益                             -158,414,120.02            125,477,406.24
       盈余公积                                  848,900,937.29            848,900,937.29
       一般风险准备                            2,169,413,171.22          2,153,950,217.90
       未分配利润                              4,146,690,722.36          3,081,589,047.65
       归属于母公司所有者权益(或股东         27,603,024,292.94         20,955,913,171.46
     权益)合计
       少数股东权益                              306,684,746.26            299,879,055.64
         所有者权益(或股东权益)合计         27,909,709,039.20         21,255,792,227.10
         负债和所有者权益(或股东权益)      108,386,928,224.14         96,234,645,048.15
     总计
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    母公司资产负债表
    
    2020年9月30日
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
                   项目                    2020年9月30日            2019年12月31日
     资产:
       货币资金                               16,698,121,670.46         14,328,230,464.59
         其中:客户资金存款                   14,563,075,794.89         12,930,943,949.11
       结算备付金                              4,343,043,403.29          3,419,412,323.04
         其中:客户备付金                      3,697,854,654.10          3,043,809,592.17
       融出资金                               17,497,619,902.62         11,603,902,720.20
       衍生金融资产                                  250,489.50                 80,262.68
       存出保证金                                213,133,229.67            115,896,068.79
       应收票据                                                                 60,000.00
       应收款项                                   27,169,134.19             92,477,807.21
       买入返售金融资产                        6,865,650,847.31          6,878,482,591.04
     金融投资:
         交易性金融资产                       26,839,885,790.52         27,484,330,874.02
         其他债权投资                          5,843,323,853.47          5,783,648,902.77
         其他权益工具投资                      4,216,064,957.34          4,287,302,784.61
       长期股权投资                            7,942,362,610.63          7,521,590,895.96
       固定资产                                  602,469,470.24            634,648,702.07
       无形资产                                  166,344,106.88            177,628,275.93
       商誉                                       11,749,999.80             11,749,999.80
       递延所得税资产                            674,590,858.08            504,071,252.13
       其他资产                                  136,765,091.25            120,136,077.54
             资产总计                         92,078,545,415.25         82,963,650,002.38
     负债:
       应付短期融资款                          6,293,785,328.31          4,894,327,023.67
       交易性金融负债                             57,352,923.00             12,037,000.00
       衍生金融负债                                4,975,733.52              4,267,800.83
       卖出回购金融资产款                     12,732,134,241.89         12,414,099,831.28
       代理买卖证券款                         18,190,873,960.62         15,855,895,259.65
       代理承销证券款                              1,940,000.00
       应付职工薪酬                              733,826,572.32            651,934,582.57
       应交税费                                  340,134,737.02             57,305,805.09
       应付款项                                   23,849,126.41             20,217,652.51
       应付债券                               26,678,647,523.22         28,239,590,639.74
       其他负债                                  246,951,795.18            288,285,622.85
         负债合计                             65,304,471,941.49         62,437,961,218.19
     所有者权益(或股东权益):
       实收资本(或股本)                      3,880,518,908.00          3,000,000,000.00
       资本公积                               16,621,662,633.92         11,657,819,494.42
       减:库存股                                 19,220,540.31             19,220,540.31
       其他综合收益                             -134,005,334.26            129,966,338.16
       盈余公积                                  848,900,937.29            848,900,937.29
       一般风险准备                            1,972,180,289.36          1,964,114,786.54
       未分配利润                              3,604,036,579.76          2,944,107,768.09
         所有者权益(或股东权益)合计         26,774,073,473.76         20,525,688,784.19
     负债和所有者权益(或股东权益)总         92,078,545,415.25         82,963,650,002.38
     计
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    合并利润表
    
    2020年1—9月
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
         项目        2020年第三季度     2019年第三季度     2020年前三季度     2019年前三季度
                       (7-9月)          (7-9月)          (1-9月)          (1-9月)
     一、营业总收    1,743,049,538.69   1,218,124,996.99   5,332,318,250.35   3,892,726,162.56
     入
       利息净收入      216,806,808.45      72,680,694.55     468,360,723.79     278,993,457.80
       其中:利息     666,766,369.52     648,460,820.61   1,864,278,359.37   1,926,644,518.80
     收入
             利息      449,959,561.07     575,780,126.06   1,395,917,635.58   1,647,651,061.00
     支出
       手续费及佣      773,046,529.67     473,616,937.80   2,006,440,439.51   1,432,216,403.11
     金净收入
       其中:经纪
     业务手续费净      455,070,514.60     256,824,249.70   1,093,261,421.81     811,224,588.16
     收入
             投资
     银行业务手续      259,196,172.84     137,949,851.44     708,215,770.84     375,225,470.79
     费净收入
             资产       40,030,368.38      42,631,735.59     113,705,974.01     127,883,883.49
     管理业务手续
     费净收入
       投资收益        586,795,513.38     366,199,596.52   1,587,226,670.10   1,107,883,674.09
     (损失以
     “-”号填列)
       其中:对联       30,449,546.82      19,167,188.48      83,926,025.72      44,795,624.75
     营企业和合营
     企业的投资收
     益
       其他收益            968,601.92       2,914,580.96      18,399,601.92       8,454,396.64
       公允价值变     -101,502,615.99    -168,505,883.25     228,394,807.22     102,313,444.11
     动收益(损失
     以“-”号填
     列)
       汇兑收益         -4,042,189.69       3,428,146.82      -1,135,124.17       2,581,294.32
     (损失以
     “-”号填列)
       其他业务收      270,999,379.62     467,776,766.72   1,026,397,417.10     960,291,293.42
     入
       资产处置收          -22,488.67          14,156.87      -1,766,285.12          -7,800.93
     益(损失以
     “-”号填
     列)
     二、营业总支    1,108,087,276.42     976,312,571.77   3,366,314,688.32   2,639,575,124.19
     出
       税金及附加       13,220,434.84       8,945,361.81      34,498,649.32      25,739,708.15
       业务及管理      731,342,563.62     491,388,465.32   1,772,882,342.11   1,590,102,191.90
     费
       信用减值损       90,428,467.80       9,008,224.61     530,764,837.49      35,713,182.47
     失
       其他资产减                                                               30,650,788.47
     值损失
       其他业务成      273,095,810.16     466,970,520.03   1,028,168,859.40     957,369,253.20
     本
     三、营业利润      634,962,262.27     241,812,425.22   1,966,003,562.03   1,253,151,038.37
     (亏损以
     “-”号填
     列)
       加:营业外          827,603.66         491,739.51       2,399,766.17         951,608.79
     收入
       减:营业外        2,629,358.14       3,169,433.08      16,061,438.03       3,351,009.56
     支出
     四、利润总额
     (亏损总额以      633,160,507.79     239,134,731.65   1,952,341,890.17   1,250,751,637.60
     “-”号填列)
       减:所得税      166,211,967.04      65,905,737.02     451,184,247.41     323,740,422.21
     费用
     五、净利润(净
     亏损以“-”      466,948,540.75     173,228,994.63   1,501,157,642.76     927,011,215.39
     号填列)
     (一)按经营持续性分类
         1.持续经
     营净利润(净      466,948,540.75     173,228,994.63   1,501,157,642.76     927,011,215.39
     亏损以“-”
     号填列)
         2.终止经
     营净利润(净
     亏损以“-”
     号填列)
     (二)按所有权归属分类
         1.归属于
     母公司股东的      461,206,724.40     175,432,337.98   1,491,742,764.76     925,851,087.99
     净利润(净亏
     损以“-”号填
     列)
         2.少数股
     东损益(净亏        5,741,816.35      -2,203,343.35       9,414,878.00       1,160,127.40
     损以“-”号填
     列)
     六、其他综合
     收益的税后净      -11,411,874.94     -73,060,991.20    -193,588,613.33      44,316,180.26
     额
       归属母公司
     所有者的其他       -9,996,089.33     -73,654,648.60    -190,979,425.95      43,663,103.68
     综合收益的税
     后净额
       (一)不能
     重分类进损益       45,345,063.38    -101,305,113.07    -133,284,625.91       7,769,549.83
     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          564,002.72         941,891.74       2,597,398.01       1,656,897.96
     的其他综合收
     益
         3.其他权
     益工具投资公       44,781,060.66    -102,247,004.81    -135,882,023.92       6,112,651.87
     允价值变动
       (二)将重
     分类进损益的      -55,341,152.71      27,650,464.47     -57,694,800.04      35,893,553.85
     其他综合收益
         1.权益法
     下可转损益的          -73,468.97          24,963.89          65,203.31       6,398,198.01
     其他综合收益
         2.其他债
     权投资公允价      -21,229,575.71       6,928,089.68     -20,193,836.73       6,230,904.01
     值变动
         3.金融资
     产重分类计入
     其他综合收益
     的金额
         4.其他债
     权投资信用损          346,744.00       1,142,978.47     -14,362,133.83         473,212.59
     失准备
         5.现金流
     量套期储备
         6.外币财
     务报表折算差      -34,384,852.03      19,554,432.43     -23,204,032.79      22,791,239.24
     额
       归属于少数
     股东的其他综       -1,415,785.61         593,657.40      -2,609,187.38         653,076.58
     合收益的税后
     净额
     七、综合收益      455,536,665.81     100,168,003.43   1,307,569,029.43     971,327,395.65
     总额
       归属于母公
     司所有者的综      451,210,635.07     101,777,689.38   1,300,763,338.81     969,514,191.67
     合收益总额
       归属于少数
     股东的综合收        4,326,030.74      -1,609,685.95       6,805,690.62       1,813,203.98
     益总额
     八、每股收益:
       (一)基本                0.12               0.05               0.41               0.29
     每股收益(元/
     股)
       (二)稀释                0.12               0.05               0.41               0.29
     每股收益(元/
     股)
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    母公司利润表
    
    2020年1—9月
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
         项目        2020年第三季度   2019年第三季度   2020年前三季度    2019年前三季度
                       (7-9月)         (7-9月)        (1-9月)         (1-9月)
     一、营业总收   1,144,292,067.72   658,786,247.92  3,281,420,800.59  2,530,771,350.56
     入
     利息净收入        181,787,274.70    42,328,246.94    374,519,250.40    185,678,135.95
       其中:利息     600,442,798.41   554,389,393.24  1,703,342,317.46  1,638,011,326.17
     收入
             利息     418,655,523.71   512,061,146.30  1,328,823,067.06  1,452,333,190.22
     支出
     手续费及佣金     676,533,492.22   390,781,440.18  1,765,162,644.75  1,220,126,210.66
     净收入
       其中:经纪
     业务手续费净     408,298,910.76   229,396,923.92    997,209,399.73    751,620,217.31
     收入
             投资
     银行业务手续     251,168,286.74   137,949,851.44    693,395,067.76    375,225,470.79
     费净收入
             资产
     管理业务手续      21,376,302.17    20,545,112.48     64,882,328.65     86,047,062.02
     费净收入
     投资收益(损
     失以”-”号     338,913,602.31   274,036,471.88    969,985,442.27    611,749,903.12
     填列)
       其中:对联
     营企业和合营      28,782,760.37    20,407,706.49     73,180,132.18     43,238,429.00
     企业的投资收
     益
     其他收益             759,901.11                      13,419,202.86        781,522.39
     公允价值变动     -52,713,852.16   -49,515,981.29    160,058,870.78    510,353,884.55
     收益(损失
     以”-”号填
     列)
     汇兑收益(损      -1,585,359.91       896,183.26     -1,470,310.71        966,996.60
     失以”-”号
     填列)
     其他业务收入         390,667.82       245,730.08      1,394,965.06      1,122,498.22
     资产处置收益         206,341.63        14,156.87     -1,649,264.82         -7,800.93
     (损失以
     “-”号填
     列)
     二、营业总支     667,534,747.95   433,105,439.34  1,855,384,671.82  1,364,358,237.60
     出
     税金及附加        12,340,436.89     7,972,038.47     31,012,705.43     22,272,658.27
     业务及管理费     564,632,788.09   389,761,651.39  1,394,140,587.09  1,270,585,068.92
     信用减值损失      90,561,522.97    35,371,749.48    430,231,379.30     71,500,510.41
     三、营业利润     476,757,319.77   225,680,808.58  1,426,036,128.77  1,166,413,112.96
     (亏损以”
     -”号填列)
     加:营业外收         110,958.15        47,942.70        442,309.17        155,010.47
     入
     减:营业外支         920,974.50     3,055,327.10     14,291,291.89      3,236,903.58
     出
     四、利润总额     475,947,303.42   222,673,424.18  1,412,187,146.05  1,163,331,219.85
     (亏损总额
     以”-”号填
     列)
     减:所得税费     118,991,742.85    55,668,356.04    333,014,377.33    296,028,213.62
     用
     五、净利润(净
     亏损以”-”     356,955,560.57   167,005,068.14  1,079,172,768.72    867,303,006.23
     号填列)
     (一)持续经
     营净利润(净     356,955,560.57   167,005,068.14  1,079,172,768.72    867,303,006.23
     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
     收益的税后净      23,808,768.65   -94,150,972.81   -171,059,889.61     12,428,455.84
     额
     (一)不能重
     分类进损益的      44,780,743.16  -102,247,004.81   -135,882,341.42      6,112,651.87
     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
     具投资公允价      44,780,743.16  -102,247,004.81   -135,882,341.42      6,112,651.87
     值变动
     (二)将重分
     类进损益的其     -20,971,974.51     8,096,032.00    -35,177,548.19      6,315,803.97
     他综合收益
     1.权益法下可
     转损益的其他         -73,468.97        24,963.85         65,203.31       -388,312.63
     综合收益
     2.其他债权投
     资公允价值变     -21,245,249.54     6,928,089.68    -20,880,617.67      6,230,904.01
     动
     3.金融资产重
     分类计入其他
     综合收益的金
     额
     4.其他债权投
     资信用损失准         346,744.00     1,142,978.47    -14,362,133.83        473,212.59
     备
     七、综合收益     380,764,329.22    72,854,095.33    908,112,879.11    879,731,462.07
     总额
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    合并现金流量表
    
    2020年1—9月
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
                     项目                      2020年前三季度          2019年前三季度
                                                  (1-9月)              (1-9月)
     一、经营活动产生的现金流量:
       为交易目的而持有的金融资产净减少额        3,374,413,291.23
       为交易目的而持有的金融负债净增加额           47,267,566.07
       收取利息、手续费及佣金的现金              4,467,357,747.42        3,783,259,068.77
       回购业务资金净增加额                        541,099,011.60        6,956,556,894.47
       代理买卖证券收到的现金净额                3,456,420,023.50        5,690,309,659.10
       收到其他与经营活动有关的现金              1,307,416,947.31        1,768,980,969.19
         经营活动现金流入小计                   13,193,974,587.13       18,199,106,591.53
       为交易目的而持有的金融资产净增加额                                6,809,838,161.51
       为交易目的而持有的金融负债净减少额                                   18,861,610.77
       融出资金净增加额                          6,038,561,087.31        3,495,087,019.13
       拆入资金净减少额                                                     30,000,000.00
       支付利息、手续费及佣金的现金                982,365,073.66          785,606,827.52
       支付给职工及为职工支付的现金              1,176,229,721.84          994,583,100.11
       支付的各项税费                              597,960,253.25          578,768,291.40
       支付其他与经营活动有关的现金              7,963,332,123.13        6,882,215,320.40
         经营活动现金流出小计                   16,758,448,259.19       19,594,960,330.84
           经营活动产生的现金流量净额           -3,564,473,672.06       -1,395,853,739.31
     二、投资活动产生的现金流量:
       收回投资收到的现金                        2,187,162,579.53        1,313,366,458.40
       取得投资收益收到的现金                      388,495,095.75          433,310,841.62
       取得子公司及其他营业单位收到的现金           65,379,382.45
     净额
       处置子公司及其他营业单位收到的现金          136,612,410.70
     净额
       处置固定资产、无形资产和其他长期资            2,297,705.91            1,128,421.03
     产收回的现金净额
         投资活动现金流入小计                    2,779,947,174.34        1,747,805,721.05
       投资支付的现金                            2,646,993,212.48        1,810,146,267.78
       购建固定资产、无形资产和其他长期资           75,332,595.22           34,929,576.83
     产支付的现金
       取得子公司及其他营业单位支付的现金                                          537.54
     净额
         投资活动现金流出小计                    2,722,325,807.70        1,845,076,382.15
           投资活动产生的现金流量净额               57,621,366.64          -97,270,661.10
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                        5,913,328,574.40           75,457,500.00
       其中:子公司吸收少数股东投资收到的                                   75,457,500.00
     现金
       取得借款收到的现金                       23,847,956,743.50       17,747,932,000.00
       发行债券收到的现金                        5,504,343,000.00        8,238,679,245.28
         筹资活动现金流入小计                   35,265,628,317.90       26,062,068,745.28
       偿还债务支付的现金                       25,230,798,000.00       18,139,642,384.00
       分配股利、利润或偿付利息支付的现金        1,812,019,614.66        1,644,635,783.90
       其中:子公司支付给少数股东的股利、                                      497,748.82
     利润
       支付其他与筹资活动有关的现金                 45,000,000.00            4,247,945.83
         筹资活动现金流出小计                   27,087,817,614.66       19,788,526,113.73
           筹资活动产生的现金流量净额            8,177,810,703.24        6,273,542,631.55
     四、汇率变动对现金及现金等价物的影响          -45,046,403.70           27,856,189.32
     五、现金及现金等价物净增加额                4,625,911,994.12        4,808,274,420.46
       加:期初现金及现金等价物余额               21,305,468,663.16       15,824,031,283.70
     六、期末现金及现金等价物余额                 25,931,380,657.28       20,632,305,704.16
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    母公司现金流量表
    
    2020年1—9月
    
    编制单位:东吴证券股份有限公司
    
    单位:元 币种:人民币 审计类型:未经审计
    
                     项目                      2020年前三季度          2019年前三季度
                                                  (1-9月)              (1-9月)
     一、经营活动产生的现金流量:
       为交易目的而持有的金融资产净减少额        1,674,641,212.71
       为交易目的而持有的金融负债净增加额           47,267,566.07
       收取利息、手续费及佣金的现金              3,820,721,742.37        3,119,063,169.65
       回购业务资金净增加额                                              6,541,788,380.13
       代理买卖证券收到的现金净额                2,336,033,389.94        3,836,593,550.11
       收到其他与经营活动有关的现金                 18,589,618.40           27,318,775.49
         经营活动现金流入小计                    7,897,253,529.49       13,524,763,875.38
       为交易目的而持有的金融资产净增加额                                9,466,689,114.25
       为交易目的而持有的金融负债净减少额                                   18,861,610.77
       融出资金净增加额                          5,866,097,469.68        3,495,087,019.13
       拆入资金净减少额                                                     30,000,000.00
       回购业务资金净减少额                         40,805,862.43
       支付利息、手续费及佣金的现金                725,791,903.07          618,203,485.54
       支付给职工及为职工支付的现金                967,334,043.19          812,317,724.78
       支付的各项税费                              430,439,190.45          479,057,244.54
       支付其他与经营活动有关的现金                528,865,390.63          188,579,546.61
         经营活动现金流出小计                    8,559,333,859.45       15,108,795,745.62
           经营活动产生的现金流量净额             -662,080,329.96       -1,584,031,870.24
     二、投资活动产生的现金流量:
       收回投资收到的现金                        2,187,369,656.26        1,305,442,719.85
       取得投资收益收到的现金                      368,363,880.24          431,935,430.96
       处置固定资产、无形资产和其他长期资            2,156,784.33            1,128,421.03
     产收回的现金净额
         投资活动现金流入小计                      2,557,890,320.83        1,738,506,571.84
       投资支付的现金                            2,378,170,023.23        1,795,146,267.77
       购建固定资产、无形资产和其他长期资           56,647,531.76           28,170,476.96
     产支付的现金
       取得子公司及其他营业单位支付的现金          372,000,000.00          902,272,500.00
     净额
         投资活动现金流出小计                    2,806,817,554.99        2,725,589,244.73
           投资活动产生的现金流量净额             -248,927,234.16         -987,082,672.89
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                        5,913,328,574.40
       取得借款收到的现金                       19,826,564,000.00       17,747,932,000.00
       发行债券收到的现金                        5,504,343,000.00        8,238,679,245.28
         筹资活动现金流入小计                   31,244,235,574.40       25,986,611,245.28
       偿还债务支付的现金                       25,230,798,000.00       18,147,428,000.00
       分配股利、利润或偿付利息支付的现金        1,789,198,252.75        1,634,525,758.26
       支付其他与筹资活动有关的现金                 45,000,000.00            4,247,945.83
         筹资活动现金流出小计                   27,064,996,252.75       19,786,201,704.09
           筹资活动产生的现金流量净额            4,179,239,321.65        6,200,409,541.19
     四、汇率变动对现金及现金等价物的影响           -4,374,048.75            6,511,957.33
     五、现金及现金等价物净增加额                3,263,857,708.78        3,635,806,955.39
       加:期初现金及现金等价物余额               17,735,736,367.79       13,664,355,321.59
     六、期末现金及现金等价物余额                 20,999,594,076.57       17,300,162,276.98
    
    
    法定代表人:范力 主管会计工作负责人:袁维静 会计机构负责人:王菁
    
    4.2 2020年起首次执行新收入准则、新租赁准则调整首次执行当年年初财务报表相关情况
    
    √适用□不适用
    
    合并资产负债表
    
    单位:元 币种:人民币
    
               项目             2019年12月31日       2020年1月1日            调整数
     资产:
       货币资金                 18,198,632,387.91   18,198,632,387.91
         其中:客户资金存款     14,885,031,765.25   14,885,031,765.25
       结算备付金                3,352,807,143.85    3,352,807,143.85
         其中:客户备付金        3,043,809,592.17    3,043,809,592.17
       融出资金                 11,603,902,720.20   11,603,902,720.20
       衍生金融资产                    515,945.01          515,945.01
       存出保证金                2,578,212,328.38    2,578,212,328.38
       应收票据                         60,000.00           60,000.00
       应收款项                    157,516,730.15      157,516,730.15
       合同资产
       买入返售金融资产          9,806,267,228.49    9,806,267,228.49
     金融投资:
         交易性金融资产         37,142,619,699.52   37,142,619,699.52
         债权投资                  142,062,707.25      142,062,707.25
         其他债权投资            5,796,376,967.37    5,796,376,967.37
         其他权益工具投资        4,372,178,679.85    4,372,178,679.85
       长期股权投资              1,179,023,133.40    1,179,023,133.40
       固定资产                    676,034,148.75      676,034,148.75
       无形资产                    187,413,953.50      187,413,953.50
       商誉                        149,905,260.26      149,905,260.26
       递延所得税资产              620,316,429.24      620,316,429.24
       其他资产                    270,799,585.02      270,799,585.02
             资产总计           96,234,645,048.15   96,234,645,048.15
     负债:
       短期借款                    362,188,067.17      362,188,067.17
       应付短期融资款            4,894,327,023.67    4,894,327,023.67
       交易性金融负债            5,609,206,692.41    5,609,206,692.41
       衍生金融负债                  4,923,382.96        4,923,382.96
       卖出回购金融资产款       13,125,823,986.35   13,125,823,986.35
       代理买卖证券款           19,734,231,640.82   19,734,231,640.82
       应付职工薪酬                786,812,209.05      786,812,209.05
       应交税费                    116,009,444.57      116,009,444.57
       应付票据                     30,000,000.00       30,000,000.00
       应付款项                     39,020,993.89       39,020,993.89
       合同负债
       应付债券                 28,239,590,639.74   28,239,590,639.74
       递延所得税负债                4,650,589.76        4,650,589.76
       其他负债                  2,032,068,150.66    2,032,068,150.66
         负债合计               74,978,852,821.05   74,978,852,821.05
     所有者权益(或股东权益):
       实收资本(或股本)        3,000,000,000.00    3,000,000,000.00
       资本公积                 11,765,216,102.69   11,765,216,102.69
       减:库存股                   19,220,540.31       19,220,540.31
       其他综合收益                125,477,406.24      125,477,406.24
       盈余公积                    848,900,937.29      848,900,937.29
       一般风险准备              2,153,950,217.90    2,153,950,217.90
       未分配利润                3,081,589,047.65    3,081,589,047.65
       归属于母公司所有者权益   20,955,913,171.46   20,955,913,171.46
     (或股东权益)合计
       少数股东权益                299,879,055.64      299,879,055.64
         所有者权益(或股东权   21,255,792,227.10   21,255,792,227.10
     益)合计
         负债和所有者权益(或   96,234,645,048.15   96,234,645,048.15
     股东权益)总计
    
    
    各项目调整情况的说明:
    
    √适用□不适用
    
    公司自2020年1月1起执行新收入准则,未有对年初财务报表调整事项。
    
    母公司资产负债表
    
    单位:元 币种:人民币
    
               项目             2019年12月31日       2020年1月1日            调整数
     资产:
       货币资金                 14,328,230,464.59   14,328,230,464.59
         其中:客户资金存款     12,930,943,949.11   12,930,943,949.11
       结算备付金                3,419,412,323.04    3,419,412,323.04
         其中:客户备付金        3,043,809,592.17    3,043,809,592.17
       融出资金                 11,603,902,720.20   11,603,902,720.20
       衍生金融资产                     80,262.68           80,262.68
       存出保证金                  115,896,068.79      115,896,068.79
       应收票据                         60,000.00           60,000.00
       应收款项                     92,477,807.21       92,477,807.21
       合同资产
       买入返售金融资产          6,878,482,591.04    6,878,482,591.04
     金融投资:
         交易性金融资产         27,484,330,874.02   27,484,330,874.02
         其他债权投资            5,783,648,902.77    5,783,648,902.77
         其他权益工具投资        4,287,302,784.61    4,287,302,784.61
       长期股权投资              7,521,590,895.96    7,521,590,895.96
       固定资产                    634,648,702.07      634,648,702.07
       无形资产                    177,628,275.93      177,628,275.93
       商誉                         11,749,999.80       11,749,999.80
       递延所得税资产              504,071,252.13      504,071,252.13
       其他资产                    120,136,077.54      120,136,077.54
         资产总计               82,963,650,002.38   82,963,650,002.38
     负债:
       应付短期融资款            4,894,327,023.67    4,894,327,023.67
       交易性金融负债               12,037,000.00       12,037,000.00
       衍生金融负债                  4,267,800.83        4,267,800.83
       卖出回购金融资产款       12,414,099,831.28   12,414,099,831.28
       代理买卖证券款           15,855,895,259.65   15,855,895,259.65
       应付职工薪酬                651,934,582.57      651,934,582.57
       应交税费                     57,305,805.09       57,305,805.09
       应付款项                     20,217,652.51       20,217,652.51
       合同负债
       应付债券                 28,239,590,639.74   28,239,590,639.74
       其他负债                    288,285,622.85      288,285,622.85
         负债合计               62,437,961,218.19   62,437,961,218.19
     所有者权益(或股东权益):
       实收资本(或股本)        3,000,000,000.00    3,000,000,000.00
       资本公积                 11,657,819,494.42   11,657,819,494.42
       减:库存股                   19,220,540.31       19,220,540.31
       其他综合收益                129,966,338.16      129,966,338.16
       盈余公积                    848,900,937.29      848,900,937.29
       一般风险准备              1,964,114,786.54    1,964,114,786.54
       未分配利润                2,944,107,768.09    2,944,107,768.09
     所有者权益(或股东权益)   20,525,688,784.19   20,525,688,784.19
     合计
     负债和所有者权益(或股东   82,963,650,002.38   82,963,650,002.38
     权益)总计
    
    
    各项目调整情况的说明:
    
    √适用□不适用
    
    公司自2020年1月1起执行新收入准则,未有对年初财务报表调整事项。
    
    4.3 2020年起首次执行新收入准则、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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证券之星资讯

2024-03-29

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