招商证券:2020年第三季度报告

来源:巨灵信息 2020-10-30 00:00:00
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    招商证券股份有限公司2020年第三季度报告
    
    公司代码:600999 公司简称:招商证券
    
    招商证券股份有限公司
    
    2020年第三季度报告
    
    招商证券股份有限公司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
    
    招商证券股份有限公司2020年第三季度报告
    
    一、重要提示
    
    1.1公司董事会、监事会及董事、监事、高级管理人员保证季度报告内容的真实、准确、完整,
    
    不存在虚假记载、误导性陈述或者重大遗漏,并承担个别和连带的法律责任。1.2公司全体董事出席董事会审议季度报告。
    
    1.3公司负责人霍达、主管会计工作负责人赵斌及会计机构负责人(会计主管人员)何敏保证季
    
    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
    
                                                         上年度末             本报告期末比
                                本报告期末       调整后          调整前       上年度末增减
                                                                                (%)
     总资产                    479,123,775,949.59 381,771,888,128.44    381,771,888,128.44           25.50
     归属于上市公司股东的净    106,691,425,974.88  85,048,320,108.10     85,048,320,108.10           25.45
     资产
                              年初至报告期末  上年初至上年报告期末(1-9月)   比上年同期增
                                (1-9月)        调整后          调整前           减(%)
     经营活动产生的现金流量    -29,374,903,711.51  11,286,744,377.04     11,286,744,377.04          -360.26
     净额
                              年初至报告期末  上年初至上年报告期末(1-9月)   比上年同期增
                                (1-9月)        调整后          调整前          减(%)
     营业收入                  17,903,113,002.85  12,899,419,147.10     12,899,419,147.10           38.79
     归属于上市公司股东的净     7,271,161,214.16   4,823,594,061.09      4,823,594,061.09           50.74
     利润
     归属于上市公司股东的扣     7,266,081,520.20   4,834,343,319.79      4,834,343,319.79           50.30
     除非经常性损益的净利润
     加权平均净资产收益率(%)           8.71            6.27              6.27 增加2.44个百分点
    
    
    招商证券股份有限公司2020年第三季度报告
    
     基本每股收益(元/股)               0.83            0.53              0.63           55.35
     稀释每股收益(元/股)               0.83            0.53              0.63           55.35
    
    
    注:2020年7月、8 月,公司A股、H股配股方案分别实施完成,向原股东每10股配售3股,
    
    总股本从 6,699,409,329 股增加至 8,696,526,806 股。根据《企业会计准则第 34 号—每股收益》
    
    和《〈企业会计准则第 34 号—每股收益〉应用指南》,考虑配股中包含的送股因素,计算每股
    
    收益时调整上表中各列报期间发行在外的普通股加权平均数。
    
    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
                                                      (7-9月)           (1-9月)
     非流动资产处置损益                                    147,827.30           233,353.14
     越权审批,或无正式批准文件,或偶发性的税收返                  -                   -
     还、减免
     计入当期损益的政府补助,但与公司正常经营业务
     密切相关,符合国家政策规定、按照一定标准定额         3,235,485.90         10,422,639.01
     或定量持续享受的政府补助除外
     计入当期损益的对非金融企业收取的资金占用费                    -                   -
     企业取得子公司、联营企业及合营企业的投资成本
     小于取得投资时应享有被投资单位可辨认净资产                    -                   -
     公允价值产生的收益
     非货币性资产交换损益                                          -                   -
     委托他人投资或管理资产的损益                                  -                   -
     因不可抗力因素,如遭受自然灾害而计提的各项资                  -                   -
     产减值准备
     债务重组损益                                                  -                   -
     企业重组费用,如安置职工的支出、整合费用等                    -                   -
     交易价格显失公允的交易产生的超过公允价值部                    -                   -
     分的损益
     同一控制下企业合并产生的子公司期初至合并日                    -                   -
     的当期净损益
     与公司正常经营业务无关的或有事项产生的损益                    -                   -
     除同公司正常经营业务相关的有效套期保值业务
     外,持有交易性金融资产、衍生金融资产、交易性
     金融负债、衍生金融负债产生的公允价值变动损                    -                   -
     益,以及处置交易性金融资产、衍生金融资产、交
     易性金融负债、衍生金融负债和其他债权投资取得
     的投资收益
     单独进行减值测试的应收款项、合同资产减值准备                  -                   -
     转回
     对外委托贷款取得的损益                                        -                   -
     采用公允价值模式进行后续计量的投资性房地产                    -                   -
    
    
    招商证券股份有限公司2020年第三季度报告
    
                         项目                          本期金额       年初至报告期末金额
                                                      (7-9月)           (1-9月)
     公允价值变动产生的损益
     根据税收、会计等法律、法规的要求对当期损益进                  -                   -
     行一次性调整对当期损益的影响
     受托经营取得的托管费收入                                      -                   -
     除上述各项之外的其他营业外收入和支出                  760,509.19         -3,403,897.35
     其他符合非经常性损益定义的损益项目                            -                   -
     少数股东权益影响额(税后)                                    -                   -
     所得税影响额                                        -1,057,039.12         -2,172,400.84
                         合计                             3,086,783.27          5,079,693.96
    
    
    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)                                                                154,855
                                      前十名股东持股情况
           股东名称(全称)       期末持股数量  比例  持有有限售条 质押或冻结情况 股东性质
                                                (%)    件股份数量  股份状态 数量
    深圳市招融投资控股有限公司     2,047,900,517  23.55            -    无        -国有法人
    深圳市集盛投资发展有限公司     1,703,934,870  19.59            -    无        -国有法人
    香港中央结算(代理人)有限公司   1,274,152,809  14.65            -    无        -境外法人
    中国远洋运输有限公司            544,632,418   6.26            -    无        -国有法人
    河北港口集团有限公司            343,282,732   3.95            -    无        -国有法人
    中国交通建设股份有限公司        272,219,361   3.13            -    无        -国有法人
    中国证券金融股份有限公司        260,406,933   2.99            -    无        -未知
    中远海运(广州)有限公司        109,199,899   1.26            -    无        -国有法人
    中央汇金资产管理有限责任公司    100,427,080   1.15            -    无        -国有法人
    香港中央结算有限公司             99,337,332   1.14            -    无        -境外法人
                                 前十名无限售条件股东持股情况
               股东名称           持有无限售条件流通             股份种类及数量
                                       股的数量              种类               数量
    深圳市招融投资控股有限公司           2,047,900,517    人民币普通股          2,047,900,517
    深圳市集盛投资发展有限公司           1,703,934,870    人民币普通股          1,703,934,870
    香港中央结算(代理人)有限公司         1,274,152,809   境外上市外资股         1,274,152,809
    中国远洋运输有限公司                   544,632,418    人民币普通股           544,632,418
    河北港口集团有限公司                   343,282,732    人民币普通股           343,282,732
    中国交通建设股份有限公司               272,219,361    人民币普通股           272,219,361
    中国证券金融股份有限公司               260,406,933    人民币普通股           260,406,933
    中远海运(广州)有限公司               109,199,899    人民币普通股           109,199,899
    中央汇金资产管理有限责任公司           100,427,080    人民币普通股           100,427,080
    香港中央结算有限公司                    99,337,332    人民币普通股            99,337,332
    
    
    招商证券股份有限公司2020年第三季度报告
    
                                  上述前10名股东中,
     上述股东关联关系或一致行动   1、深圳市招融投资控股有限公司、深圳市集盛投资发展有限公
     的说明                       司均为本公司实际控制人招商局集团有限公司控制的子公司;
                                  2、中国远洋运输有限公司、中远海运(广州)有限公司均为中
                                  国远洋海运集团有限公司控制的子公司。
    
    
    注:1、香港中央结算(代理人)有限公司为公司H股非登记股东所持股份的名义持有人;
    
    2、香港中央结算有限公司为公司沪股通股票名义持有人;
    
    3、因公司股票为融资融券标的证券,股东持股数量按照其通过普通证券账户、信用证券账户持
    
    有的股票及权益数量合并计算。
    
    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:元 币种:人民币
    
              项目               本报告期末            上年末        增减幅度              主要变动原因
                                                          (%)
     结算备付金                 19,526,938,864.57    12,471,615,672.00      56.57  客户备付金增加
     融出资金                   84,498,501,068.31    55,224,619,148.40      53.01  融出资金规模增加
     存出保证金                  7,008,027,360.22     4,780,890,141.37      46.58  存出保证金增加
     应收款项                    3,737,300,985.35      763,703,283.76     389.37  应收往来及清算款增加
     交易性金融资产            183,977,946,108.04   138,146,067,589.35      33.18  债券投资规模增加
     递延所得税资产              1,253,820,233.30      826,872,488.40      51.63  可抵扣暂时性差异增加
     其他资产                    1,953,754,547.30     3,447,579,111.33      -43.33  其他应收款减少
     短期借款                   11,358,104,135.98     3,103,672,685.57     265.96  香港子公司短期借款增加
     拆入资金                    1,556,580,083.33     7,013,198,555.57      -77.80  拆入资金减少
     交易性金融负债             16,064,581,664.72    10,076,386,273.63      59.43  卖出债券规模增加
     代理承销证券款               200,538,905.00                  -          -  代理承销证券款增加
     应交税费                     804,911,890.85      468,848,992.65      71.68  应交限售股转让个人所得税的增加
     应付票据                    2,151,400,000.00      615,000,000.00     249.82  应付票据增加
     应付债券                   87,207,208,061.81    65,991,501,508.46      32.15  发行公司债券增加
     递延所得税负债               697,915,448.68      485,282,411.69      43.82  应纳税暂时性差异增加
     资本公积                   40,361,022,253.27    27,533,939,437.04      46.59  公司完成A+H股配股
     库存股                                   -      663,954,452.56     -100.00  公司将库存股转至员工持股计划
     其他综合收益                 305,123,935.56      821,414,658.87      -62.85  其他债权投资公允价值变动
    
    
    招商证券股份有限公司2020年第三季度报告
    
              项目               本报告期末            上年末        增减幅度              主要变动原因
                                                          (%)
     未分配利润                 25,844,217,158.31    19,256,085,699.79      34.21  公司本年净利润增加
              项目             年初至报告期末         上年同期       增减幅度              主要变动原因
                                                          (%)
     利息净收入                  2,205,752,531.79     1,474,755,697.30      49.57  自有资金和客户资金利息收入增加
     手续费及佣金净收入          7,803,577,324.20     5,455,174,351.42      43.05  经纪业务收入增加
     投资收益(损失以“-”       4,730,833,184.77     3,376,320,366.50      40.12  金融工具投资收益增加
     号填列)
     其他收益                      39,102,273.06        7,849,180.39      398.17  代扣代缴手续费收入增加
     公允价值变动收益(损失       904,208,848.95     1,414,755,297.67      -36.09  金融工具公允价值变动
     以“-”号填列)
     汇兑收益(损失以“-”         16,142,738.53       10,945,140.19      47.49  汇率变化
     号填列)
     其他业务收入                2,203,496,101.55     1,159,619,113.63      90.02  大宗商品业务收入
     税金及附加                    99,440,279.81       68,993,684.66      44.13  城市维护建设税及教育费附加增加
     信用减值损失                 127,571,961.10       68,568,758.14      86.05  计提融资类业务预期信用损失
     其他业务成本                2,164,459,603.26     1,134,072,235.15      90.86  大宗商品业务支出
     营业外支出                     4,659,617.25       30,226,078.70      -84.58  香港子公司营业外支出减少
     所得税费用                  1,582,335,768.86     1,047,182,803.41      51.10  应纳税额所得额增加
     其他综合收益的税后净         -516,290,723.31      311,972,880.84     -265.49  其他债权投资公允价值变动
     额
     经营活动产生的现金流      -29,374,903,711.51    11,286,744,377.04     -360.26  融出资金净流出增加
     量净额
     投资活动产生的现金流        7,295,536,771.43    -3,681,051,019.41          -  其他债权投资现金净流入增加
     量净额
     筹资活动产生的现金流       44,877,572,018.13     8,938,793,706.55     402.05  发行债券、A+H股配股收到的现金增加
     量净额
    
    
    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、公司董监事换届事项
    
    公司第六届董事会、第六届监事会自2017年5月26日成立,已满三年,根据公司章程规定,需进行换届选举。2020年9月28日,公司六届董事会第三十七次会议审议通过了《关于提名公司第七届董事会非独立董事候选人的议案》、《关于提名公司第七届董事会独立董事候选人的议案》;第六届监事会第二十二次会议审议通过了《关于提名公司第七届监事会股东代表监事候选人的议案》。以上议案将于2020年10月30日提交公司2020年第二次临时股东大会审议。
    
    招商证券股份有限公司2020年第三季度报告
    
    具体内容详见公司于2020年9月29日、10月14日在上交所网站发布的相关公告。
    
    2、公司完成A+H配股事项
    
    经中国证监会证监许可〔2020〕723号和〔2019〕1946号文件核准,公司已分别于2020年7月20日、8月20日成功完成A股和H股配股发行工作(以下简称“本次配股”)。本次配股向A股原股东配售1,702,997,123股人民币普通股,向H股原股东配售294,120,354股H股股份。发行完成后,公司总股本从6,699,409,329增加至8,696,526,806股,其中,A股股本从5,719,008,149增加至7,422,005,272,H股股本从980,401,180增加至1,274,521,534。公司本次A股、H股股份已分别于7月31日、8月20日在上海证券交易所、香港联交所上市交易。本次A股配股发行与H股配股发行的募集资金总额分别为人民币127.04亿元和港币24.07亿元(相当于约人民币21.94亿元)。
    
    具体内容详见公司于2020年7月20日、7月28日、8月19日在上交所网站发布的相关公告。3.3报告期内超期未履行完毕的承诺事项
    
    □适用√不适用
    
    3.4预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生重大变动的
    
    警示及原因说明□适用√不适用
    
    3.5年初至报告期末投资者关系活动情况
    
    本年初至报告期末,公司通过股东大会、网上业绩和现金分红说明会、投资策略会、上交所e互动、电话、邮件、微信等多种方式,与境内外分析师、机构投资者44批484人次进行交流,与其他投资者交流856人次,增进投资者对公司发展战略、经营状况、A+H股配股、重要事项的深入理解,达到了良好的效果。
    
     公司名称        招商证券股份有限公司
     法定代表人      霍达
     日期            2020年10月29日
    
    
    招商证券股份有限公司2020年第三季度报告
    
    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:招商证券股份有限公司
    
    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                                                  79,001,132,932.24               61,927,739,281.18
         其中:客户资金存款                                      62,984,708,337.31               53,040,322,678.76
       结算备付金                                                19,526,938,864.57               12,471,615,672.00
         其中:客户备付金                                        13,583,786,541.71                8,125,251,787.68
       融出资金                                                  84,498,501,068.31               55,224,619,148.40
       衍生金融资产                                               2,294,023,350.64                1,805,818,795.53
       存出保证金                                                 7,008,027,360.22                4,780,890,141.37
       应收款项                                                   3,737,300,985.35                  763,703,283.76
       买入返售金融资产                                          35,066,303,191.04               35,679,824,625.09
     金融投资:
         交易性金融资产                                         183,977,946,108.04              138,146,067,589.35
         债权投资                                                 1,512,021,209.35                1,894,635,258.43
         其他债权投资                                            39,880,714,204.04               45,734,306,885.10
         其他权益工具投资                                         7,082,564,893.79                7,057,809,335.29
       长期股权投资                                               9,227,761,089.01                8,833,586,050.37
       固定资产                                                   1,420,536,143.42                1,474,162,061.81
       在建工程                                                     59,031,854.02                   66,583,575.56
       使用权资产                                                 1,186,480,186.02                1,189,838,712.56
       无形资产                                                    427,247,123.38                  436,565,507.36
       商誉                                                          9,670,605.55                    9,670,605.55
       递延所得税资产                                             1,253,820,233.30                  826,872,488.40
       其他资产                                                   1,953,754,547.30                3,447,579,111.33
             资产总计                                           479,123,775,949.59              381,771,888,128.44
     负债:
       短期借款                                                  11,358,104,135.98                3,103,672,685.57
       应付短期融资款                                            36,584,068,032.43               33,098,616,429.20
       拆入资金                                                   1,556,580,083.33                7,013,198,555.57
       交易性金融负债                                            16,064,581,664.72               10,076,386,273.63
       衍生金融负债                                               2,419,998,736.94                2,183,222,423.64
       卖出回购金融资产款                                       121,245,394,415.12               97,706,685,534.22
       代理买卖证券款                                            77,311,262,191.43               61,724,219,803.61
       代理承销证券款                                              200,538,905.00                              -
    
    
    招商证券股份有限公司2020年第三季度报告
    
                         项目                             2020年9月30日                 2019年12月31日
       应付职工薪酬                                               6,094,378,126.29                5,567,916,991.96
       应交税费                                                    804,911,890.85                  468,848,992.65
       应付款项                                                   4,921,317,920.32                4,937,060,039.16
       长期借款                                                   1,385,819,625.80                1,413,614,692.95
       应付债券                                                  87,207,208,061.81               65,991,501,508.46
       租赁负债                                                   1,247,811,954.41                1,252,147,381.94
       递延所得税负债                                              697,915,448.68                  485,282,411.69
       其他负债                                                   3,242,314,345.67                1,621,664,576.95
         负债合计                                               372,342,205,538.78              296,644,038,301.20
     所有者权益(或股东权益):
       实收资本(或股本)                                         8,696,526,806.00                6,699,409,329.00
       其他权益工具                                              15,000,000,000.00               15,000,000,000.00
             永续债                                              15,000,000,000.00               15,000,000,000.00
       资本公积                                                  40,361,022,253.27               27,533,939,437.04
       减:库存股                                                              -                  663,954,452.56
       其他综合收益                                                305,123,935.56                  821,414,658.87
       盈余公积                                                   5,236,148,007.81                5,236,148,007.81
       一般风险准备                                              11,248,387,813.93               11,165,277,428.15
       未分配利润                                                25,844,217,158.31               19,256,085,699.79
       归属于母公司所有者权益(或股东权益)合计                 106,691,425,974.88               85,048,320,108.10
       少数股东权益                                                 90,144,435.93                   79,529,719.14
         所有者权益(或股东权益)合计                           106,781,570,410.81               85,127,849,827.24
         负债和所有者权益(或股东权益)总计                     479,123,775,949.59              381,771,888,128.44
    
    
    法定代表人:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    招商证券股份有限公司2020年第三季度报告
    
    母公司资产负债表
    
    2020年9月30日
    
    编制单位:招商证券股份有限公司
    
    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                                             61,422,781,600.12               48,609,703,236.74
         其中:客户资金存款                                 50,981,863,975.01               42,843,742,210.86
       结算备付金                                           19,389,954,990.76               11,959,758,031.94
         其中:客户备付金                                   13,350,858,815.60                7,967,974,609.21
       融出资金                                             71,479,720,389.48               51,318,914,985.30
       衍生金融资产                                          1,333,632,375.01                  648,870,093.14
       存出保证金                                            3,727,902,006.69                2,244,259,924.14
       应收款项                                               885,894,842.17                  501,270,517.88
       买入返售金融资产                                     35,066,303,191.04               35,679,824,625.09
     金融投资:
         交易性金融资产                                    163,306,823,113.21              119,471,255,078.00
         债权投资                                            1,362,993,149.90                1,800,034,149.58
         其他债权投资                                       37,584,310,804.00               44,816,397,438.12
         其他权益工具投资                                    7,082,564,893.79                7,057,809,335.29
       长期股权投资                                         22,131,641,299.79               16,610,888,158.61
       固定资产                                              1,365,096,546.64                1,404,373,257.83
       在建工程                                                34,235,328.73                   41,630,871.77
       使用权资产                                            1,031,579,610.54                1,020,049,836.00
       无形资产                                               415,479,069.72                  423,710,359.38
       递延所得税资产                                        1,150,770,855.77                  752,102,861.73
       其他资产                                              2,139,600,178.00                2,170,647,102.24
             资产总计                                      430,911,284,245.36              346,531,499,862.78
     负债:
       应付短期融资款                                       36,584,068,032.43               33,098,616,429.20
       拆入资金                                              1,556,580,083.33                7,013,198,555.57
       交易性金融负债                                       12,127,176,360.00                6,945,433,690.00
       衍生金融负债                                          1,333,060,071.49                1,048,823,498.57
       卖出回购金融资产款                                  118,100,461,907.43               94,035,284,996.70
       代理买卖证券款                                       63,132,748,410.58               49,827,012,509.14
       代理承销证券款                                         200,538,905.00                              -
       应付职工薪酬                                          5,909,999,517.44                5,253,821,623.89
       应交税费                                               666,467,925.20                  285,023,081.38
       应付款项                                              2,923,521,910.65                2,481,127,444.48
       应付债券                                             87,205,816,827.25               65,991,501,508.46
       租赁负债                                              1,091,681,099.29                1,071,621,719.59
       递延所得税负债                                         481,052,550.47                  394,322,385.69
    
    
    招商证券股份有限公司2020年第三季度报告
    
                       项目                          2020年9月30日                2019年12月31日
       其他负债                                               915,569,343.79                   895,587,506.48
         负债合计                                          332,228,742,944.35                268,341,374,949.15
     所有者权益(或股东权益):
       实收资本(或股本)                                    8,696,526,806.00                6,699,409,329.00
       其他权益工具                                         15,000,000,000.00               15,000,000,000.00
             永续债                                         15,000,000,000.00               15,000,000,000.00
       资本公积                                             40,247,125,198.17               27,460,042,381.94
       减:库存股                                                         -                  663,954,452.56
       其他综合收益                                           116,668,403.71                  541,685,772.44
       盈余公积                                              5,236,148,007.81                5,236,148,007.81
       一般风险准备                                         10,343,483,009.06               10,343,483,009.06
       未分配利润                                           19,042,589,876.26               13,573,310,865.94
         所有者权益(或股东权益)合计                       98,682,541,301.01               78,190,124,913.63
         负债和所有者权益(或股东权益)总计                430,911,284,245.36              346,531,499,862.78
    
    
    法定代表人:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    招商证券股份有限公司2020年第三季度报告
    
    合并利润表
    
    2020年1—9月
    
    编制单位:招商证券股份有限公司
    
    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、营业总收入                                 6,404,375,064.41   4,359,014,632.89    17,903,113,002.85    12,899,419,147.10
       利息净收入                                    804,167,912.63     460,416,208.09     2,205,752,531.79     1,474,755,697.30
       其中:利息收入                               2,572,070,016.72   2,149,940,272.05     7,119,703,110.84     6,082,203,169.04
             利息支出                               1,767,902,104.09   1,689,524,063.96     4,913,950,579.05     4,607,447,471.74
       手续费及佣金净收入                           3,281,651,106.85   1,862,206,721.28     7,803,577,324.20     5,455,174,351.42
       其中:经纪业务手续费净收入                   2,197,286,532.79     950,539,493.63     5,109,933,019.12     3,120,886,998.65
             投资银行业务手续费净收入                634,495,014.27     513,933,302.81     1,412,945,210.69     1,165,922,560.70
             资产管理业务手续费净收入                250,633,429.55     239,055,105.54      776,135,313.10      745,825,740.54
       投资收益(损失以“-”号填列)                1,527,439,837.16     805,878,261.20     4,730,833,184.77     3,376,320,366.50
       其中:对联营企业和合营企业的投资收益          270,950,629.49     225,392,287.50      737,036,671.40      687,355,790.24
       其他收益                                       20,067,694.56       2,215,441.48       39,102,273.06        7,849,180.39
       公允价值变动收益(损失以“-”号填列)         543,371,584.71     522,996,231.41      904,208,848.95     1,414,755,297.67
       汇兑收益(损失以“-”号填列)                  19,425,801.00      -3,305,932.54       16,142,738.53       10,945,140.19
       其他业务收入                                  208,251,127.50     708,607,701.97     2,203,496,101.55     1,159,619,113.63
       资产处置收益(损失以“-”号填列)                        -                 -                  -                  -
     二、营业总支出                                 2,856,770,784.22   2,802,562,478.12     9,046,253,397.84     6,992,970,917.61
       税金及附加                                     39,827,261.52      23,543,708.15       99,440,279.81       68,993,684.66
       业务及管理费                                 2,588,483,743.72   1,981,646,229.23     6,653,904,185.98     5,720,522,564.55
       信用减值损失                                   47,451,422.40      99,609,633.68      127,571,961.10       68,568,758.14
       其他资产减值损失                                  -17,166.64         10,226.94          877,367.69          813,675.11
       其他业务成本                                  181,025,523.22     697,752,680.12     2,164,459,603.26     1,134,072,235.15
     三、营业利润(亏损以“-”号填列)              3,547,604,280.19   1,556,452,154.77     8,856,859,605.01     5,906,448,229.49
       加:营业外收入                                  4,465,437.31       3,397,056.21       11,911,712.05        9,801,391.09
       减:营业外支出                                    321,614.92        748,747.39        4,659,617.25       30,226,078.70
     四、利润总额(亏损总额以“-”号填列)          3,551,748,102.58   1,559,100,463.59     8,864,111,699.81     5,886,023,541.88
       减:所得税费用                                609,992,055.89     234,636,848.78     1,582,335,768.86     1,047,182,803.41
     五、净利润(净亏损以“-”号填列)             2,941,756,046.69   1,324,463,614.81     7,281,775,930.95     4,838,840,738.47
     (一)按经营持续性分类
         1.持续经营净利润(净亏损以“-”号填列)   2,941,756,046.69   1,324,463,614.81     7,281,775,930.95     4,838,840,738.47
         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净利润(净亏损以“-”  2,937,326,822.30   1,320,834,663.76     7,271,161,214.16     4,823,594,061.09
     号填列)
         2.少数股东损益(净亏损以“-”号填列)         4,429,224.39       3,628,951.05       10,614,716.79       15,246,677.38
     六、其他综合收益的税后净额                      -290,741,961.25      60,899,084.55      -516,290,723.31      311,972,880.84
       归属母公司所有者的其他综合收益的税后净额      -290,741,961.25      60,899,084.55      -516,290,723.31      311,972,880.84
    
    
    招商证券股份有限公司2020年第三季度报告
    
                         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)不能重分类进损益的其他综合收益          175,021,920.70     -71,121,729.03       18,566,668.88      277,949,114.95
         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值变动              175,021,920.70     -71,121,729.03       18,566,668.88      277,949,114.95
         4.企业自身信用风险公允价值变动                          -                 -                  -                  -
       (二)将重分类进损益的其他综合收益            -465,763,881.95     132,020,813.58      -534,857,392.19       34,023,765.89
         1.权益法下可转损益的其他综合收益             -10,054,659.79       5,475,047.58        -4,529,266.04       10,590,867.95
         2.其他债权投资公允价值变动                  -255,555,839.69       2,218,060.24      -443,715,975.64      -117,591,609.17
         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备                    -1,107,348.12        345,087.39       14,517,028.11          536,202.95
         5.现金流量套期储备                                      -                 -                  -                  -
         6.外币财务报表折算差额                      -199,046,034.35     123,982,618.37      -101,129,178.62      140,488,304.16
         7.其他                                                  -                 -                  -                  -
       归属于少数股东的其他综合收益的税后净额                    -                 -                  -                  -
     七、综合收益总额                               2,651,014,085.44   1,385,362,699.36     6,765,485,207.64     5,150,813,619.31
       归属于母公司所有者的综合收益总额             2,646,584,861.05   1,381,733,748.31     6,754,870,490.85     5,135,566,941.93
       归属于少数股东的综合收益总额                    4,429,224.39       3,628,951.05       10,614,716.79       15,246,677.38
     八、每股收益:
       (一)基本每股收益(元/股)                              0.33              0.14               0.83               0.53
       (二)稀释每股收益(元/股)                              0.33              0.14               0.83               0.53
    
    
    法定代表人:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    招商证券股份有限公司2020年第三季度报告
    
    母公司利润表
    
    2020年1—9月
    
    编制单位:招商证券股份有限公司
    
    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、营业总收入                               5,292,430,496.21   3,173,039,089.99    13,515,198,199.92   9,741,256,929.92
     利息净收入                                     675,977,637.11     374,398,464.66     1,899,401,721.94   1,216,567,551.15
       其中:利息收入                             2,374,654,710.32   1,987,380,244.11     6,607,771,076.46   5,669,285,907.50
             利息支出                             1,698,677,073.21   1,612,981,779.45     4,708,369,354.52   4,452,718,356.35
     手续费及佣金净收入                           2,871,061,714.59   1,504,971,026.86     6,647,831,938.82   4,385,887,709.01
       其中:经纪业务手续费净收入                 2,066,967,449.44     854,226,043.55     4,780,058,886.82   2,877,257,111.44
             投资银行业务手续费净收入               607,964,341.02     495,690,835.87     1,370,698,595.11   1,096,698,469.28
             资产管理业务手续费净收入                           -                 -                  -                 -
     投资收益(损失以”-”号填列)               1,362,630,105.48   1,230,970,194.44     3,979,312,272.03   3,318,314,364.40
       其中:对联营企业和合营企业的投资收益         264,248,244.79     210,675,495.74      710,312,407.22     652,330,275.24
     其他收益                                         2,947,924.37       2,063,661.13       19,765,332.10       7,697,400.04
     公允价值变动收益(损失以”-”号填列)         334,235,715.05      43,630,025.01      907,571,462.68     778,587,636.32
     汇兑收益(损失以”-”号填列)                  21,213,105.80       6,376,323.97        2,054,860.22       8,145,429.30
     其他业务收入                                    24,364,293.81      10,629,393.92       59,260,612.13      26,056,839.70
     资产处置收益(损失以“-”号填列)                         -                 -                  -                 -
     二、营业总支出                               2,447,716,567.03   1,934,583,600.96     6,250,889,520.85   5,290,133,751.73
     税金及附加                                      36,536,339.83      21,144,928.61       90,376,817.60      62,063,460.01
     业务及管理费                                 2,363,433,773.31   1,810,746,795.25     6,047,815,262.11   5,149,310,004.18
     信用减值损失                                    47,746,453.89     102,691,877.10      112,697,441.14      78,760,287.54
     其他资产减值损失                                           -                 -                  -                 -
     其他业务成本                                               -                 -                  -                 -
     三、营业利润(亏损以”-”号填列)           2,844,713,929.18   1,238,455,489.03     7,264,308,679.07   4,451,123,178.19
     加:营业外收入                                   3,388,163.57       3,141,526.84       10,751,134.73       9,235,387.81
     减:营业外支出                                     72,367.18        368,597.49          428,162.83        858,119.07
     四、利润总额(亏损总额以”-”号填列)       2,848,029,725.57   1,241,228,418.38     7,274,631,650.97   4,459,500,446.93
     减:所得税费用                                 462,447,023.27     166,019,935.52     1,205,433,270.79     718,316,647.97
     五、净利润(净亏损以”-”号填列)           2,385,582,702.30   1,075,208,482.86     6,069,198,380.18   3,741,183,798.96
     (一)持续经营净利润(净亏损以“-”号填列) 2,385,582,702.30   1,075,208,482.86     6,069,198,380.18   3,741,183,798.96
     (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额                     -82,722,532.17     -63,357,167.19      -425,017,368.73     171,298,730.74
     (一)不能重分类进损益的其他综合收益           175,021,920.70     -71,121,729.03       18,566,668.88     277,949,114.95
     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值变动                175,021,920.70     -71,121,729.03       18,566,668.88     277,949,114.95
     4.企业自身信用风险公允价值变动                            -                 -                  -                 -
     (二)将重分类进损益的其他综合收益            -257,744,452.87       7,764,561.84      -443,584,037.61    -106,650,384.21
    
    
    招商证券股份有限公司2020年第三季度报告
    
                        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)
     1.权益法下可转损益的其他综合收益               -10,054,659.79       5,475,047.58        -4,529,266.04      10,590,867.95
     2.其他债权投资公允价值变动                    -246,897,202.59       1,944,426.87      -437,484,892.29    -117,777,455.11
     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备                        -792,590.49        345,087.39        -1,569,879.28        536,202.95
     5.现金流量套期储备                                         -                 -                  -                 -
     6.外币财务报表折算差额                                     -                 -                  -                 -
     7.其他                                                     -                 -                  -                 -
     七、综合收益总额                             2,302,860,170.13   1,011,851,315.67     5,644,181,011.45   3,912,482,529.70
     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:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    招商证券股份有限公司2020年第三季度报告
    
    合并现金流量表
    
    2020年1—9月
    
    编制单位:招商证券股份有限公司
    
    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:
       处置交易性金融资产净增加额                                                 -                         -
       收取利息、手续费及佣金的现金                                 15,196,149,191.81          11,565,807,384.05
       拆入资金净增加额                                                           -                         -
       回购业务资金净增加额                                         24,113,783,804.78          34,136,059,656.94
       融出资金净减少额                                                           -                         -
       代理买卖证券收到的现金净额                                   15,870,734,451.84          13,455,799,103.24
       收到其他与经营活动有关的现金                                  4,375,111,748.82           4,633,548,937.74
         经营活动现金流入小计                                       59,555,779,197.25          63,791,215,081.97
       购置交易性金融资产净减少额                                   35,745,170,480.56          29,454,403,759.51
       拆入资金净减少额                                              5,450,000,000.00           3,000,000,000.00
       回购业务资金净减少额                                                       -                         -
       融出资金净增加额                                             29,517,098,190.35           8,200,201,691.25
       代理买卖证券支付的现金净额                                                 -                         -
       支付利息、手续费及佣金的现金                                  3,716,210,316.80           2,912,096,002.16
       支付给职工及为职工支付的现金                                  4,732,807,978.21           3,576,820,417.11
       支付的各项税费                                                2,734,950,739.80           2,208,008,362.87
       支付其他与经营活动有关的现金                                  7,034,445,203.04           3,152,940,472.03
         经营活动现金流出小计                                       88,930,682,908.76          52,504,470,704.93
           经营活动产生的现金流量净额                              -29,374,903,711.51          11,286,744,377.04
     二、投资活动产生的现金流量:
       收回投资收到的现金                                            5,971,993,861.31                         -
       取得投资收益收到的现金                                        1,467,669,867.77           1,307,903,923.15
       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                                       818,851.33               1,063,009.79
         投资活动现金流入小计                                        7,440,482,580.41           1,308,966,932.94
       投资支付的现金                                                             -           4,863,864,949.36
       购建固定资产、无形资产和其他长期资产支付的现金                  144,945,808.98             126,153,002.99
       取得子公司及其他营业单位支付的现金净额                                     -                         -
       支付其他与投资活动有关的现金                                               -                         -
         投资活动现金流出小计                                          144,945,808.98           4,990,017,952.35
           投资活动产生的现金流量净额                                7,295,536,771.43           -3,681,051,019.41
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                                           14,824,200,293.23                         -
       其中:子公司吸收少数股东投资收到的现金                                     -                         -
       取得借款收到的现金                                            8,347,830,793.02             100,173,504.58
    
    
    招商证券股份有限公司2020年第三季度报告
    
                             项目                               2020年前三季度            2019年前三季度
                                                                  (1-9月)                 (1-9月)
       发行债券收到的现金                                          124,050,890,000.00          75,812,140,000.00
       收到其他与筹资活动有关的现金                                    663,954,452.56                         -
         筹资活动现金流入小计                                      147,886,875,538.81          75,912,313,504.58
       偿还债务支付的现金                                           98,933,957,290.74          60,955,215,129.61
       分配股利、利润或偿付利息支付的现金                            4,075,346,229.94           6,018,304,668.42
       其中:子公司支付给少数股东的股利、利润                                     -                         -
       支付其他与筹资活动有关的现金                                               -                         -
         筹资活动现金流出小计                                      103,009,303,520.68          66,973,519,798.03
           筹资活动产生的现金流量净额                               44,877,572,018.13           8,938,793,706.55
     四、汇率变动对现金及现金等价物的影响                             -208,633,264.94             238,617,020.52
     五、现金及现金等价物净增加额                                   22,589,571,813.11          16,783,104,084.70
       加:期初现金及现金等价物余额                                 74,339,314,719.30          61,170,650,431.63
     六、期末现金及现金等价物余额                                   96,928,886,532.41          77,953,754,516.33
    
    
    法定代表人:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    招商证券股份有限公司2020年第三季度报告
    
    母公司现金流量表
    
    2020年1—9月
    
    编制单位:招商证券股份有限公司
    
    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:
       处置交易性金融资产净增加额                                                 -                       -
       收取利息、手续费及佣金的现金                                 13,299,892,012.33          9,687,498,929.57
       拆入资金净增加额                                                           -                       -
       回购业务资金净增加额                                         24,588,182,160.12         31,086,736,943.55
       融出资金净减少额                                                                                   -
       代理买卖证券收到的现金净额                                   13,494,893,945.49         12,492,206,044.56
       收到其他与经营活动有关的现金                                  1,608,005,133.29          1,071,981,070.71
         经营活动现金流入小计                                       52,990,973,251.23         54,338,422,988.39
       购置交易性金融资产净减少额                                   35,420,574,706.71         25,436,164,606.69
       拆入资金净减少额                                              5,450,000,000.00          3,000,000,000.00
       回购业务资金净减少额                                                       -                       -
       融出资金净增加额                                             20,241,457,718.62          8,830,805,251.09
       代理买卖证券支付的现金净额                                                 -                       -
       支付利息、手续费及佣金的现金                                  3,363,924,202.87          2,631,186,588.28
       支付给职工及为职工支付的现金                                  4,199,240,092.81          3,054,279,476.30
       支付的各项税费                                                1,885,920,329.89          1,336,103,490.15
       支付其他与经营活动有关的现金                                  2,380,290,170.68          1,645,083,781.22
         经营活动现金流出小计                                       72,941,407,221.58         45,933,623,193.73
           经营活动产生的现金流量净额                              -19,950,433,970.35          8,404,799,794.66
     二、投资活动产生的现金流量:
       收回投资收到的现金                                            7,386,328,571.50                       -
       取得投资收益收到的现金                                        1,458,767,501.05          1,307,903,923.15
       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                                       696,976.58               937,137.50
         投资活动现金流入小计                                        8,845,793,049.13          1,308,841,060.65
       投资支付的现金                                                5,130,000,000.00          4,003,191,850.68
       购建固定资产、无形资产和其他长期资产支付的现金                  134,481,180.86           115,642,424.79
       支付其他与投资活动有关的现金                                               -                       -
         投资活动现金流出小计                                        5,264,481,180.86          4,118,834,275.47
           投资活动产生的现金流量净额                                3,581,311,868.27         -2,809,993,214.82
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                                           14,784,200,293.23                       -
       取得借款收到的现金                                                         -                       -
       发行债券收到的现金                                          124,050,890,000.00         75,812,140,000.00
       收到其他与筹资活动有关的现金                                    663,954,452.56                       -
    
    
    招商证券股份有限公司2020年第三季度报告
    
                             项目                               2020年前三季度           2019年前三季度
                                                                  (1-9月)                 (1-9月)
         筹资活动现金流入小计                                      139,499,044,745.79         75,812,140,000.00
       偿还债务支付的现金                                           98,901,872,886.10         60,930,349,513.09
       分配股利、利润或偿付利息支付的现金                            3,993,134,496.77          5,930,050,072.85
       支付其他与筹资活动有关的现金                                               -                       -
         筹资活动现金流出小计                                      102,895,007,382.87         66,860,399,585.94
           筹资活动产生的现金流量净额                               36,604,037,362.92          8,951,740,414.06
     四、汇率变动对现金及现金等价物的影响                              -43,335,139.78             8,145,429.30
     五、现金及现金等价物净增加额                                   20,191,580,121.06         14,554,692,423.20
       加:期初现金及现金等价物余额                                 60,569,031,627.38         46,547,571,868.52
     六、期末现金及现金等价物余额                                   80,760,611,748.44         61,102,264,291.72
    
    
    法定代表人:霍达 主管会计工作负责人:赵斌 会计机构负责人:何敏
    
    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
    
    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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