中泰证券:股份有限公司2020年第三季度报告全文

来源:巨灵信息 2020-10-30 00:00:00
关注证券之星官方微博:
    公司代码:600918 公司简称:中泰证券
    
    中泰证券股份有限公司
    
    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..................................................................... 13
    
    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公司负责人李玮、主管会计工作负责人袁西存及会计机构负责人(会计主管人员)刘健保证
    
    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           163,977,209,605.76      146,613,149,711.09                    11.84
     归属于上市公司    32,993,038,025.21       33,909,579,330.15                    -2.70
     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      -347,537,370.71       11,440,014,285.30                  -103.04
     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           7,529,204,142.62        7,312,643,952.03                     2.96
     归属于上市公司     2,294,728,979.24        1,776,817,251.40                    29.15
     股东的净利润
     归属于上市公司     2,272,927,442.63        1,753,556,403.77                    29.62
     股东的扣除非经
     常性损益的净利
     润
     加权平均净资产                 7.10                    5.69        增加1.41个百分点
     收益率(%)
     基本每股收益                   0.33                    0.24                    37.50
     (元/股)
     稀释每股收益                   0.33                    0.24                    37.50
     (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            -467,669.67       19,422,004.59  主要是固定资产处置收
                                                                    益和损失
     计入当期损益的政府             415,915.58       17,801,333.13  主要是政府补助
     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
     定标准定额或定量持
     续享受的政府补助除
     外
     除上述各项之外的其            -147,114.60       -8,491,344.67
     他营业外收入和支出
     少数股东权益影响额              -9,564.23         -203,532.73
     (税后)
     所得税影响额                    49,432.93       -6,726,923.71
             合计                  -158,999.99       21,801,536.61
    
    
    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)                                                               177,466
                                      前十名股东持股情况
      股东名称    期末持股数量    比例   持有有限售条件     质押或冻结情况      股东性质
      (全称)                    (%)       股份数量      股份状      数量
                                                            态
     莱芜钢铁
     集团有限     2,879,559,900   41.32   2,879,559,900       无                国有法人
     公司
     兖矿集团       458,091,900    6.57     458,091,900       无                国有法人
     有限公司
     济钢集团       351,729,000    5.05     351,729,000       无                国有法人
     有限公司
     山东省鲁
     信投资控       277,566,330    3.98     277,566,330       无                国有法人
     股集团有
     限公司
     济南西城
     投资发展       241,737,300    3.47     241,737,300       无                国有法人
     有限公司
     新汶矿业
     集团有限       241,737,300    3.47     241,737,300       无                国有法人
     责任公司
     山东永通                                                                    境内非国
     实业有限       203,366,300    2.92     203,366,300     质押  134,400,000     有法人
     公司
     上海禹佐
     投资管理       183,415,900    2.63     183,415,900     质押  119,600,000       其他
     中心(有限
     合伙)
     宁波美舜
     投资管理       152,523,400    2.19     152,523,400       无                    其他
     中心(有限
     合伙)
     上海弘康                                                                    境内非国
     实业投资       122,021,900    1.75     122,021,900       无                  有法人
     有限公司
                                 前十名无限售条件股东持股情况
     股东名称               持有无限售条件流通股的数             股份种类及数量
                                       量                   种类              数量
     张宝玉                                2,823,100      人民币普通股          2,823,100
     中国工商银行股份有限
     公司-申万菱信中证申                  2,113,104      人民币普通股          2,113,104
     万证券行业指数分级证
     券投资基金
     郭金芳                                2,000,531      人民币普通股          2,000,531
     刘宝军                                1,204,400      人民币普通股          1,204,400
     陆志华                                1,200,000      人民币普通股          1,200,000
     王琛                                  1,191,300      人民币普通股          1,191,300
     边雨竹                                1,186,000      人民币普通股          1,186,000
     吴建星                                1,100,000      人民币普通股          1,100,000
     中国建设银行股份有限
     公司-国泰中证申万证                    966,300      人民币普通股            966,300
     券行业指数证券投资基
     金(LOF)
     姚运善                                  960,000      人民币普通股            960,000
     上述股东关联关系或一  截至报告期末,莱芜钢铁集团有限公司是山东钢铁集团有限公司的控股
     致行动的说明          子公司,持有本公司41.32%的股份;济钢集团有限公司是山东钢铁集团
                           有限公司全资子公司,持有本公司5.05%的股份。山东永通实业有限公
                           司持有本公司2.92%的股份,本公司董事刘锋及其配偶林旭燕通过其控
                           制的永锋集团有限公司间接控股山东永通实业有限公司;上海禹佐投资
                           管理中心(有限合伙)持有本公司2.63%的股份,本公司董事刘锋为其
                           有限合伙人,刘锋及其配偶林旭燕分别间接和直接持有其普通合伙人山
                           东诚业发展有限公司的股权,刘锋及其配偶林旭燕可对上海禹佐投资管
                           理中心(有限合伙)施加重大影响。除前述情况外,公司未发现上述其
                           他股东之间存在包括持股和任职在内的关联关系或《上市公司收购管理
                           办法》规定的一致行动人情形。
     表决权恢复的优先股股  不适用
     东及持股数量的说明
    
    
    2.3截止报告期末的优先股股东总数、前十名优先股股东、前十名优先股无限售条件股东持股情
    
    况表□适用√不适用三、重要事项
    
    3.1公司主要会计报表项目、财务指标重大变动的情况及原因
    
    √适用□不适用
    
    单位:元 币种:人民币
    
          项目          2020年9月30日        2019年12月31日         增减          变动原因
                                                                    幅度
     结算备付金           9,223,036,177.63    6,763,320,638.78       36.37%  客户结算备付金增
                                                                             加
     融出资金            31,040,448,722.23   23,248,873,866.35       33.51%  融资融券融出资金
                                                                             增加
     衍生金融资产           204,603,340.22       99,279,168.26      106.09%  收益互换业务公允
                                                                             价值增加
     存出保证金           8,077,581,996.19                           36.81%  期权保证金增加
    
    
    5,904,321,055.36
    
     应收款项               401,671,951.41      682,845,873.86      -41.18%  收回融资融券和股
                                                                             票质押客户款
     短期借款             6,545,367,148.94    3,505,844,122.80       86.70%  信用借款增加
     应付短期融资款      13,349,893,684.29    3,933,260,648.75      239.41%  短期收益凭证增加
      拆入资金            2,059,617,794.14    3,576,357,727.96      -42.41%  转融通融入资金减少
                                                                             分类为以公允价值
      交易性金融负           16,029,939.99      345,790,400.45      -95.36%  计量且其变动计入
     债                                                                      当期损益的金融负
                                                                             债减少
      衍生金融负债           20,369,209.71       51,781,107.35      -60.66%  场外期权业务衍生
                                                                             金融负债减少
      代理承销证券          521,747,464.54        2,754,987.94    18838.28%  未结算代理承销款
     款                                                                      增加
                                                                             清算款和股票收益
      应付款项              896,951,821.22      372,940,587.24      140.51%  互换客户保证金增
                                                                             加
      其他权益工具                       -    6,000,000,000.00     -100.00%  偿还了永续次级债
     未分配利润           6,658,316,838.16    4,546,698,234.15       46.44%  本期利润增加
          项目            2020年1-9月          2019年1-9月          增减          变动原因
                                                                    幅度
     利息净收入             578,366,150.40      370,979,945.75       55.90%  融资成本降低
     手续费及佣金净       1,555,273,656.04      971,397,458.62       60.11%  股市交投活跃交易
     收入                                                                    量增加
     投资收益               152,913,342.81      444,508,087.78      -65.60%  处置金融工具产生
                                                                             的投资收益减少
     其他收益                 4,090,020.70       12,103,260.23      -66.21%  收到的政府补助等
                                                                             减少
     公允价值变动收         348,521,981.34      142,815,875.55      144.04%  金融工具公允价值
     益                                                                      变动
     汇兑收益                   604,501.28       -4,975,340.10       不适用  汇率变动影响
                                                                             期货子公司开展的
     其他业务收入            87,259,156.67      555,979,166.58      -84.31%  期现结合业务现货
                                                                             收入减少
     信用减值损失            12,735,360.55      -13,244,455.79       不适用  融资类金融资产信
                                                                             用减值损失增加
                                                                             期货子公司开展的
     其他业务成本            80,273,852.25      518,124,612.03      -84.51%  期现结合业务现货
                                                                             成本减少
     营业外支出               1,111,597.88        9,548,982.26      -88.36%  本期对外捐赠减少
     所得税费用             275,948,377.41      161,678,791.04       70.68%  利润总额增加
    
    
    受证券市场波动影
    
    其他综合收益的 -31,614,037.37 -74,798,487.06 不适用 响,其他权益工具
    
    税后净额 投资公允价值发生
    
    变动
    
     经营活动产生的        -347,537,370.71   11,440,014,285.30     -103.04%  购入交易性金融资
     现金流量净额                                                            产和融出资金增加
     投资活动产生的       1,421,538,700.08      784,502,652.65       81.20%  收回投资
     现金流量净额
     筹资活动产生的       4,619,279,879.28   -3,931,809,824.85       不适用  发行债券和IPO上
     现金流量净额                                                            市融资
    
    
    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
    
    一、重大诉讼、仲裁事项
    
    报告期内,公司未发生《上海证券交易所股票上市规则》中要求披露的涉案金额超过人民币1,000 万元且占公司最近一期经审计净资产绝对值10%以上的重大诉讼、仲裁事项。
    
    公司在2020年8月28日披露的《中泰证券股份有限公司2020半年度报告》(以下简称《2020半年度报告》)中已披露诉讼、仲裁进展情况如下:
    
    1.公司作为被告的重要诉讼或仲裁案件进展情况
    
    金山实业有抵押优先贷款票据买卖纠纷案尚未取得新的进展。
    
    2.公司及控股子公司作为原告(不含中泰资管,全称为中泰证券(上海)资产管理有限公司,下同)的重要诉讼或仲裁进展情况
    
     序号     案件名称      原告/         被告/         标的金额       判决结果      案件进展      备注
                           申请人      被申请人
                                                                     公司胜诉,                 基本案
                                                                    2020年9月,                  情见
            王某某、谭某                                            王某某向最高               2020年4
       1    某融资融券    中泰证券   王某某、谭某某   4,787.42万元    人民法院申请    执行完结    月28日
            交易纠纷案                                              再审,法院裁                公开披
                                                                    定驳回王某某               露的《招
                                                                      再审申请                  股说明
            聚信量化网                                              一审仅支持第                书》及
       2    络侵权责任    中泰证券   北京聚信量化     1,514.17万元     1项诉讼请    申请执行     2020年8
            纠纷案                   科技有限公司                    求,公司不服                月28日
                                                                    提起上诉,二                披露的
                                                                    审改判支持公                《2020
                                                                    司关于被告返                年半年
                                                                    还资金、赔偿               度报告》
                                                                    利息的诉讼请
                                                                         求
                                                                    法院同意了宏
                                                                    润(上海)融
                                     乌海洪远新能                   资租赁有限公
                                     源科技有限公                   司提出的保全
                          宏润(上   司(简称“乌海                   申请并裁定同  法院出具判
            乌海洪远融    海)融资   洪远”)、神雾                   意追加乌海市  决书,驳回
       3    资租赁合同    租赁有限   科技集团股份    10,189.03万元   富海资产管理  富海公司申
            执行纠纷案    公司       有限公司、北京                  有限公司为被  请
                                     华福工程有限                   执行人,富海
                                     公司、吴某某                   公司目前就该
                                                                    判决上诉至浦
                                                                    东新区人民法
                                                                         院
            王某某股票                                                             已结案,款
       4    质押式回购    中泰证券   王某某          31,055.37万元    公司胜诉      项已收回
            纠纷案
            公司诉华泰               华泰汽车集团                    公司已收到一
       5    汽车、张某某  中泰证券   有限公司、张某  1,790万元       审判决,公司  一审已结案
            债券交易纠               某                              胜诉
            纷案
                                                                                   法院已将涉
            北京三才聚               北京三才聚投                                  案流拍资产
       6    股票质押式    中泰证券   资管理中心(有  9,948.92万元     公司胜诉      抵债给公
            回购纠纷案               限合伙)                                      司,本次执
                                                                                   行程序终结
            上海力珩股               上海力珩投资                                  执行结案,
       7    票质押式回    中泰证券   中心(有限合    8,791.82万元     公司胜诉      款项已收回
            购纠纷案                 伙)
            刘某股票质                                                             本次执行程
       8    押式回购纠    中泰证券   刘某            2,777.38万元     公司胜诉      序终结
            纷案
            上海良玉科    宏润(上   上海良玉科技
            技发展股份    海)融资   发展股份有限                                  处于执行阶
       9    有限公司保    租赁有限   公司、钟韶华、  1,710.18万元     公司胜诉      段
            理违约纠纷    公司       严佳、严祥德、
            案                       王宏莲、严磊
      10    国购投资公    中泰证券   国购投资有限    10,587.19万元   一审胜诉      一审判决已
            司债券交易    (作为受   公司、国购产业                                生效
            纠纷案        托管理     控股有限公司、   5,172.26万元    一审胜诉      一审判决已
                          人,受债   合肥华源物业                                  生效
                          券持有人   发展有限责任                                  一审判决已
                          委托)     公司            10,739.29万元   一审胜诉      生效
                                                     4,246.15万元    一审胜诉      一审判决已
                                                                                   生效
    
    
    林某某股票质押式回购纠纷案、李某股票质押式回购纠纷案、大连承运股票质押式回购纠纷案、黄某某股票质押式回购纠纷案、田某某融资融券交易纠纷案、“15华信债”公司债券兑付纠纷案、北京光耀东方股票质押式回购纠纷案、皇月国际项目贷款违约纠纷案、镇江兆和项目贷款违约纠纷案、高源投资有限公司抵押保证融资案、湖北久顺股权投资纠纷案、大民种业股权投资纠纷案、容大高科股权投资纠纷案、北京裕源大通科技股份有限公司保理违约纠纷案已在公司《2020年半年度报告》中披露,尚未取得新的进展。
    
    3.公司控股子公司中泰资管代表资管计划提起的重要诉讼、仲裁进展情况
    
      序   案件名    原告/         被告/          标的金额        判决结果       案件进展      备注
      号     称      申请人       被申请人
                                                                中泰资管要求
                               安徽省外经建设                   被告支付债券    二审已开庭,
                    中泰资管   (集团)有限公    5,713.20万元    本金、利息等诉  尚未判决
                               司                               请得到一审法
                                                                院支持
                               安徽省外经建设                   中泰资管要求                 基本案情
           安徽外              (集团)有限公                   被告支付债券    二审已开庭,  见2020年
           经集团   中泰资管   司                5,284.00万元    本金、利息等诉  尚未判决      4月28日
      1    债券兑                                               请得到一审法                 公开披露
           付纠纷                                               院支持                       的《招股
           案                                                   中泰资管要求                 说明书》
                               安徽省外经建设                   被告支付债券    二审已开庭,  及2020年
                    中泰资管   (集团)有限公    5,244.00万元    本金、利息等诉  尚未判决      8月28日
                               司                               请得到一审法                 披露的
                                                                院支持                       《2020年
                               安徽省外经建设                                                半年度报
                    中泰资管   (集团)有限公    1,058.00万元    待一审判决      一审已开庭    告》
                               司
           东旭集                                                              因东旭集团
           团债券              东旭集团有限公                                   提出确认仲
      2    兑付纠   中泰资管   司                2,038.10万元    待裁决          裁协议无效,
           纷案                                                                仲裁案件中
                                                                               止审理
    
    
    “15华阳经贸MTN001”中期票据兑付纠纷案(涉案金额8,419.21万元的案件)、沈某某股票质押式回购纠纷案、“17康得新MTN001债券”中期票据兑付纠纷案、东旭光电债券兑付纠纷案已在公司《2020年半年度报告》中披露,尚未取得最新进展。
    
    2020年7-9月,公司新增重要诉讼、仲裁如下:
    
    1.公司(不含中泰资管)未新增重要诉讼、仲裁。
    
    2.公司控股子公司中泰资管代表资管计划提起的诉讼、仲裁情况
    
                  原告   被告/
     序    案件     /    被申请     标的金额            基本案情          主要诉   判决    案件      备注
     号    名称   申请     人                                            讼请求   结果    进展
                   人
                                                                                                  公司未持
                                                                         海航财                   有相关资
                                                中泰资管管理的资产管理   泰务向资管中             产管理计
                                                计划(逆回购方,资金融   偿付到                   划份额。
                                                出方)与海航财务(正回   期结算                   该案不会
                                  3,422.27万元   购方,资金融入方)进行   补金偿额金、尚未    已受    对报告期
                                                了中国银行间市场债券质   额、罚   裁决    理      内公司的
                                                押式回购交易。海航财务   息,并                   生产经营
                        海航集                  未在到期结算日向申请人   要质求押对债             和财务状
          海航          团财务                  支付到期结算金额。       券实现                   况产生重
          财务          有限公                                           质押权                   大不利影
      1   债券    中泰  司(以                                                                    响
          质押    资管  下简称                                                                    公司未持
          式回          “海航                                           海航财                   有相关资
          购案          财务”)                中泰资管管理的资产管理   务泰向资中管             产管理计
                                                计划(逆回购方,资金融   偿付到                   划份额。
                                                出方)与海航财务(正回   期结算                   该案不会
                                  7,031.50万元   购方,资金融入方)进行   补金偿额金、尚未    已受    对报告期
                                                了中国银行间市场债券质   额、罚   裁决    理      内公司的
                                                押式回购交易。海航财务   息,并                   生产经营
                                                未在到期结算日向申请人   质要求押债对             和财务状
                                                支付到期结算金额。       券实现                   况产生重
                                                                         质押权                   大不利影
                                                                                                  响
    
    
    二、营业网点变更情况
    
    2020年7-9月,公司新设2家证券营业部,完成了8家证券营业部和1家分公司的迁址并撤销 1 家证券营业部。2020年7-9月,鲁证期货(全称为鲁证期货股份有限公司,下同)完成了1家期货营业部的迁址。
    
    1.新设分公司
    
    公司无新设证券分公司。
    
    2.新设营业部开业
    
    公司新设2家证券营业部,情况如下:
    
    石家庄中华南大街证券营业部,地址为河北省石家庄市桥西区中华南大街172号8楼802室、806室、808室-811室、813室、815室
    
    苏州干将路证券营业部,地址为江苏省苏州市姑苏区干将西路57号
    
    3.迁址分支机构
    
     序号   迁址前分支机构名称      迁址后分支机构名称           迁址后分支机构地址
     1      厦门松柏路证券营业部    厦门七星西路证券营业部       厦门市思明区七星西路1
                                                                号第22层
                                    滨州无棣海丰十四路证券营业  山东省滨州市无棣县海丰
     2      滨州无棣院前街营业部    部                           十四路玫瑰园会所一楼大
                                                                厅
                                                                山东省日照市东港区山东
                                                                路622号翠湖佳园北一区
     3      日照昭阳路营业部        日照山东路证券营业部         A2A-(01)201商至(01)
                                                                213商、(01)214商(部
                                                                分)
            日照莒县银杏大道营业                                山东省日照市莒县城区银
     4      部                      莒县银杏大道证券营业部       杏大道600号沭景嘉园1A
                                                                幢108S室
     5      泰安东岳大街第二营业    泰安东岳大街第二营业部       山东省泰安市东岳大街
            部                                                  396号盐业大厦7楼
                                                                山东省烟台市开发区长江
     6      烟台长江路营业部        烟台长江路营业部             路59号附3号蓝天国际大
                                                                厦9层
                                                                深圳市福田区深南大道
     7      深圳深南大道营业部      深圳深南大道营业部           4011号港中旅大厦第13
                                                                楼1301
                                                                湖南省长沙市岳麓区观沙
     8      长沙梅溪湖营业部        长沙潇湘北路营业部           岭街道滨江路53号楷林
                                                                商务中心C座34层3405、
                                                                3406、3407号房A区
                                                                深圳市福田区华强北街道
     9      深圳分公司              深圳分公司                   通心岭社区红荔路1001
                                                                号银荔大厦2层
     鲁证期货迁址营业部信息如下:
                                                                郑州市金水区未来路69
     10     郑州营业部              郑州营业部                   号未来大厦17层1705、
                                                                1706室
    
    
    4.撤销营业部
    
    2020年7-9月,公司撤销1家证券营业部,为江苏昆山前进东路证券营业部,地址为江苏省昆山开发区前进东路898号帝景天成广场8号楼107、108室。
    
    3.3报告期内超期未履行完毕的承诺事项
    
    □适用√不适用
    
    3.4预测年初至下一报告期期末的累计净利润可能为亏损或者与上年同期相比发生重大变动的警
    
    示及原因说明□适用√不适用
    
           公司名称  中泰证券股份有限公司
         法定代表人  李玮
               日期  2020年10月29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:中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                    2020年9月30日            2019年12月31日
     资产:
       货币资金                               33,966,211,444.66         30,916,047,553.27
         其中:客户资金存款                   28,430,534,778.85         26,166,973,136.69
       结算备付金                              9,223,036,177.63          6,763,320,638.78
         其中:客户备付金                      7,481,760,685.23          4,533,338,142.83
       拆出资金
       融出资金                               31,040,448,722.23         23,248,873,866.35
       衍生金融资产                              204,603,340.22             99,279,168.26
       存出保证金                              8,077,581,996.19          5,904,321,055.36
       应收款项                                  401,671,951.41            682,845,873.86
       应收款项融资
       合同资产
       买入返售金融资产                       10,195,420,396.28         12,572,663,170.37
       持有待售资产
     金融投资:
         交易性金融资产                       40,458,492,301.86         33,342,840,435.15
         债权投资                              3,995,315,191.94          4,238,796,066.65
         其他债权投资                         16,179,641,900.36         18,522,040,228.79
         其他权益工具投资                      5,864,338,176.80          5,510,778,810.08
       长期股权投资                              797,443,197.06            684,413,394.65
       投资性房地产                              463,418,789.64            478,563,056.35
       固定资产                                  889,968,034.56            922,585,745.39
       在建工程                                    6,064,308.53              6,011,702.87
       无形资产                                  197,671,475.80            199,045,699.85
       商誉
       递延所得税资产                            853,304,394.93            912,312,812.39
       其他资产                                1,162,577,805.66          1,608,410,432.67
             资产总计                        163,977,209,605.76        146,613,149,711.09
     负债:
       短期借款                                6,545,367,148.94          3,505,844,122.80
       应付短期融资款                         13,349,893,684.29          3,933,260,648.75
       拆入资金                                2,059,617,794.14          3,576,357,727.96
       交易性金融负债                             16,029,939.99            345,790,400.45
       衍生金融负债                               20,369,209.71             51,781,107.35
       卖出回购金融资产款                     26,479,087,138.05         25,496,292,325.94
       代理买卖证券款                         41,207,440,920.48         33,494,472,707.20
       代理承销证券款                            521,747,464.54              2,754,987.94
       应付职工薪酬                            1,897,362,650.10          1,886,590,611.06
       应交税费                                  514,540,932.45            415,145,350.42
       应付款项                                  896,951,821.22            372,940,587.24
       合同负债                                    1,562,110.90
       持有待售负债
       预计负债                                      468,397.96                219,298.85
       长期借款                                  264,425,372.93            342,501,181.02
       应付债券                               28,824,858,451.64         32,212,281,435.85
       其中:优先股
             永续债
       递延收益                                    1,057,206.47              1,057,206.47
       递延所得税负债                            379,112,912.12            320,586,199.25
       其他负债                                6,869,437,083.08          5,648,706,681.13
         负债合计                            129,849,330,239.01        111,606,582,579.68
     所有者权益(或股东权益):
       实收资本(或股本)                      6,968,625,756.00          6,271,763,180.00
       其他权益工具                                                      6,000,000,000.00
       其中:优先股
             永续债                                                      6,000,000,000.00
       资本公积                               13,085,431,427.94         10,857,565,036.70
       减:库存股
       其他综合收益                             -408,489,470.54           -429,340,321.18
       盈余公积                                1,839,032,163.97          1,839,215,368.76
       一般风险准备                            4,850,121,309.68          4,823,677,831.72
       未分配利润                              6,658,316,838.16          4,546,698,234.15
       归属于母公司所有者权益(或股东         32,993,038,025.21         33,909,579,330.15
     权益)合计
       少数股东权益                            1,134,841,341.54          1,096,987,801.26
         所有者权益(或股东权益)合计         34,127,879,366.75         35,006,567,131.41
         负债和所有者权益(或股东权益)      163,977,209,605.76        146,613,149,711.09
     总计
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    母公司资产负债表
    
    2020年9月30日
    
    编制单位:中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                    2020年9月30日            2019年12月31日
     资产:
       货币资金                               26,440,622,634.87         24,255,923,383.28
         其中:客户资金存款                   22,910,614,172.43         21,962,634,476.48
       结算备付金                              9,313,256,123.18          6,918,433,358.17
         其中:客户备付金                      7,481,760,685.23          4,533,338,142.83
       拆出资金
       融出资金                               27,942,692,344.24         22,067,101,373.49
       衍生金融资产                              201,616,722.05             44,886,178.50
       存出保证金                              1,964,510,894.63          2,198,713,113.45
       应收款项                                  304,382,342.62            198,105,519.85
       应收款项融资
       合同资产
       买入返售金融资产                        8,830,731,869.40         11,196,667,010.73
       持有待售资产
     金融投资:
         交易性金融资产                       32,101,268,860.59         26,950,179,078.85
         债权投资
         其他债权投资                         16,179,641,900.36         18,522,040,228.79
         其他权益工具投资                      7,755,646,415.89          7,308,610,637.77
       长期股权投资                            6,850,416,112.83          5,788,748,524.18
       投资性房地产                               12,785,812.99             22,109,185.15
       固定资产                                  249,144,828.88            259,727,177.29
       在建工程
       无形资产                                  142,845,303.41            147,642,114.57
       递延所得税资产                            720,378,527.71            738,822,745.44
       其他资产                                  715,852,764.93            645,065,297.19
             资产总计                        139,725,793,458.58        127,262,774,926.70
     负债:
       短期借款
       应付短期融资款                         14,006,636,792.75          4,535,023,662.45
       拆入资金                                1,507,577,092.36          3,017,622,384.62
       交易性金融负债                                      0.00            122,439,240.00
       衍生金融负债                               16,086,380.14              5,238,711.52
       卖出回购金融资产款                     30,836,235,310.69         28,521,214,843.67
       代理买卖证券款                         30,384,332,149.67         26,566,508,275.40
       代理承销证券款                            499,999,990.20
       应付职工薪酬                            1,542,500,811.40          1,474,231,886.12
       应交税费                                  454,334,279.15            342,308,537.05
       应付款项                                  844,001,483.79            125,904,209.71
       合同负债
       持有待售负债
       预计负债                                      219,298.85                219,298.85
       长期借款
       应付债券                               26,779,884,475.63         28,676,476,588.94
       其中:优先股
             永续债
       递延收益                                    1,057,206.47              1,057,206.47
       递延所得税负债                            361,521,820.47            284,598,146.09
       其他负债                                  388,159,240.33            488,375,291.57
         负债合计                            107,622,546,331.90         94,161,218,282.46
     所有者权益(或股东权益):
       实收资本(或股本)                      6,968,625,756.00          6,271,763,180.00
       其他权益工具                                                      6,000,000,000.00
       其中:优先股
             永续债                                                      6,000,000,000.00
       资本公积                               12,853,366,524.77         10,625,500,133.53
       减:库存股
       其他综合收益                              252,567,475.10            158,228,395.88
       盈余公积                                1,841,197,965.94          1,841,381,170.73
       一般风险准备                            4,726,422,013.25          4,726,422,013.25
       未分配利润                              5,461,067,391.62          3,478,261,750.85
         所有者权益(或股东权益)合计         32,103,247,126.68         33,101,556,644.24
     负债和所有者权益(或股东权益)总        139,725,793,458.58        127,262,774,926.70
     计
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    合并利润表
    
    2020年1—9月
    
    编制单位:中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          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       2,726,986,079.36   2,492,867,405.18    7,529,204,142.62   7,312,643,952.03
       利息净收入           578,366,150.40     370,979,945.75    1,626,021,862.85   1,097,350,347.11
       其中:利息收入     1,284,400,044.91   1,191,026,683.60    3,654,369,348.07   3,515,842,697.65
             利息支出       706,033,894.51     820,046,737.85    2,028,347,485.22   2,418,492,350.54
       手续费及佣金净收   1,555,273,656.04     971,397,458.62    3,870,496,116.74   3,107,907,993.28
     入
       其中:经纪业务手   1,151,807,969.97     541,832,593.60    2,754,588,284.61   1,899,004,669.95
     续费净收入
             投资银行业     290,472,025.89     307,320,782.87      768,084,837.73     820,316,485.64
     务手续费净收入
             资产管理业      95,240,928.56      76,291,422.99      245,488,435.49     276,864,914.01
     务手续费净收入
       投资收益(损失以     152,913,342.81     444,508,087.78    1,108,834,684.58   1,192,765,436.30
     “-”号填列)
       其中:对联营企业      36,104,891.64      10,408,599.38       84,271,817.34      40,531,538.92
     和合营企业的投资收
     益
           以摊余成本
     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               4,090,020.70      12,103,260.23       31,333,604.62      61,424,367.23
       公允价值变动收益     348,521,981.34     142,815,875.55      206,427,715.75     723,586,307.46
     (损失以“-”号填
     列)
       汇兑收益(损失以         604,501.28      -4,975,340.10       -5,149,736.15      -7,642,879.08
     “-”号填列)
       其他业务收入          87,259,156.67     555,979,166.58      670,948,908.52   1,137,182,652.55
       资产处置收益(损         -42,729.88          58,950.77       20,290,985.71          69,727.18
     失以“-”号填列)
     二、营业总支出       1,522,342,539.11   1,733,672,943.74    4,567,875,276.40   5,013,239,125.31
       税金及附加            21,739,851.78      16,771,371.25       57,711,882.73      51,347,854.33
       业务及管理费       1,407,593,474.53   1,212,021,416.25    3,713,062,347.13   3,671,393,072.54
       信用减值损失          12,735,360.55     -13,244,455.79      149,485,212.42     219,915,891.16
       其他资产减值损失                                                                -2,705,089.87
       其他业务成本          80,273,852.25     518,124,612.03      647,615,834.12   1,073,287,397.15
     三、营业利润(亏损   1,204,643,540.25     759,194,461.44    2,961,328,866.22   2,299,404,826.72
     以“-”号填列)
       加:营业外收入           540,434.50         618,692.63        3,056,409.45       2,488,945.53
       减:营业外支出         1,111,597.88       9,548,982.26       12,415,844.23      17,392,876.42
     四、利润总额(亏损   1,204,072,376.87     750,264,171.81    2,951,969,431.44   2,284,500,895.83
     总额以“-”号填列)
       减:所得税费用       275,948,377.41     161,678,791.04      614,046,476.64     472,734,307.68
     五、净利润(净亏损     928,123,999.46     588,585,380.77    2,337,922,954.80   1,811,766,588.15
     以“-”号填列)
     (一)按经营持续性分类
         1.持续经营净利     928,123,999.46     588,585,380.77    2,337,922,954.80   1,811,766,588.15
     润(净亏损以“-”
     号填列)
         2.终止经营净利
     润(净亏损以“-”
     号填列)
     (二)按所有权归属分类
         1.归属于母公司     911,603,710.74     588,303,047.19    2,294,728,979.24   1,776,817,251.40
     股东的净利润(净亏
     损以“-”号填列)
         2.少数股东损益      16,520,288.72         282,333.58       43,193,975.56      34,949,336.75
     (净亏损以“-”号填
     列)
     六、其他综合收益的     -31,614,037.37     -74,798,487.06        6,263,435.57     239,786,060.46
     税后净额
       归属母公司所有者     -31,109,455.61     -75,351,672.55        6,800,748.58     239,634,967.22
     的其他综合收益的税
     后净额
       (一)不能重分类     128,532,552.91     -57,157,733.58      156,033,604.83     263,670,354.36
     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                                              5,417,950.99               0.00
     转损益的其他综合收
     益
         3.其他权益工具     128,532,552.91     -57,157,733.58      150,615,653.84     263,670,354.36
     投资公允价值变动
         4.企业自身信用
     风险公允价值变动
       (二)将重分类进    -159,642,008.52     -18,193,938.97     -149,232,856.25     -24,035,387.14
     损益的其他综合收益
         1.权益法下可转                         -1,232,177.23                0.00     -20,440,468.34
     损益的其他综合收益
         2.其他债权投资     -93,434,969.12       4,168,427.45     -129,585,350.56     -12,871,953.29
     公允价值变动
         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     -15,828,332.67     -23,576,480.17        9,805,135.37      -1,303,991.95
     信用损失准备
         5.现金流量套期
     储备
         6.外币财务报表     -50,378,706.73       2,446,290.98      -29,452,641.06      10,581,026.44
     折算差额
         7.其他
       归属于少数股东的        -504,581.76         553,185.49         -537,313.01         151,093.24
     其他综合收益的税后
     净额
     七、综合收益总额       896,509,962.09     513,786,893.71    2,344,186,390.37   2,051,552,648.61
       归属于母公司所有     880,494,255.13     512,951,374.64    2,301,529,727.82   2,016,452,218.62
     者的综合收益总额
       归属于少数股东的      16,015,706.96         835,519.07       42,656,662.55      35,100,429.99
     综合收益总额
     八、每股收益:
       (一)基本每股收               0.13               0.08                0.33               0.24
     益(元/股)
       (二)稀释每股收               0.13               0.08                0.33               0.24
     益(元/股)
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    母公司利润表
    
    2020年1—9月
    
    编制单位:中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       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  2,290,850,174.42  1,579,289,676.07  5,865,321,034.97  5,016,841,410.82
     入
     利息净收入       449,041,299.21    279,985,993.90  1,259,531,553.71    858,230,533.55
       其中:利息  1,079,700,429.43    999,289,181.96  3,020,832,754.83  2,983,231,935.31
     收入
             利      630,659,130.22    719,303,188.06  1,761,301,201.12  2,125,001,401.76
     息支出
     手续费及佣    1,372,703,016.66    797,596,688.37  3,356,217,415.48  2,581,575,959.06
     金净收入
       其中:经纪  1,074,618,748.18    516,945,773.15  2,579,756,293.41  1,805,172,268.55
     业务手续费
     净收入
             投      264,320,916.11    253,174,004.04    679,727,357.68    708,210,499.26
     资银行业务
     手续费净收
     入
             资
     产管理业务
     手续费净收
     入
     投资收益(损     93,180,131.40    314,428,351.51    796,841,683.83    694,211,009.74
     失以”-”
     号填列)
       其中:对联     33,713,327.80      9,518,173.07     82,667,588.65     28,900,036.25
     营企业和合
     营企业的投
     资收益
             以
     摊余成本计
     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          3,787,524.20     11,477,132.53     24,905,767.19     20,330,717.44
     公允价值变      344,516,586.64    134,278,805.83    320,449,120.91    738,727,620.60
     动收益(损失
     以”-”号
     填列)
     汇兑收益(损       -795,817.55        461,249.64       -540,790.91        497,275.53
     失以”-”
     号填列)
     其他业务收       28,459,940.95     41,058,001.43     87,625,412.67    123,247,760.44
     入
     资产处置收          -42,507.09          3,452.86     20,290,872.09         20,534.46
     益(损失以
     “-”号填
     列)
     二、营业总支  1,207,469,623.74    955,707,963.65  3,210,643,290.55  3,058,724,794.71
     出
     税金及附加       17,145,619.38     12,376,658.76     44,588,295.43     37,997,277.05
     业务及管理    1,192,767,314.12    997,036,691.81  3,086,945,401.56  2,925,912,251.14
     费
     信用减值损       -2,629,632.71    -54,043,715.34     78,251,283.05     93,806,308.19
     失
     其他资产减
     值损失
     其他业务成          186,322.95        338,328.42        858,310.51      1,008,958.33
     本
     三、营业利润  1,083,380,550.68    623,581,712.42  2,654,677,744.42  1,958,116,616.11
     (亏损以”
     -”号填列)
     加:营业外收        143,254.21        826,773.03      1,446,292.15      2,591,266.33
     入
     减:营业外支        746,461.48      9,225,574.05     11,539,342.03     15,299,770.94
     出
     四、利润总额  1,082,777,343.41    615,182,911.40  2,644,584,694.54  1,945,408,111.50
     (亏损总额
     以”-”号
     填列)
     减:所得税费    233,966,415.27    122,032,558.86    517,892,612.91    377,202,748.87
     用
     五、净利润      848,810,928.14    493,150,352.54  2,126,692,081.63  1,568,205,362.63
     (净亏损
     以”-”号
     填列)
     (一)持续经    848,810,928.14    493,150,352.54  2,126,692,081.63  1,568,205,362.63
     营净利润(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     39,209,826.45    -59,912,603.62     93,069,433.57    395,095,951.21
     收益的税后
     净额
     (一)不能重    148,473,128.24    -37,240,800.45    212,849,648.76    413,491,380.23
     分类进损益
     的其他综合
     收益
     1.重新计量
     设定受益计
     划变动额
     2.权益法下
     不能转损益
     的其他综合
     收益
     3.其他权益     148,473,128.24    -37,240,800.45    212,849,648.76    413,491,380.23
     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)将重分   -109,263,301.79    -22,671,803.17   -119,780,215.19    -18,395,429.02
     类进损益的
     其他综合收
     益
     1.权益法下
     可转损益的
     其他综合收
     益
     2.其他债权      -93,434,969.12        904,677.00   -129,585,350.56    -17,116,892.50
     投资公允价
     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      -15,828,332.67    -23,576,480.17      9,805,135.37     -1,278,536.52
     投资信用损
     失准备
     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    888,020,754.59    433,237,748.92  2,219,761,515.20  1,963,301,313.84
     总额
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    合并现金流量表
    
    2020年1—9月
    
    编制单位:中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                      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                                 776,687,186.61
     额
       收取利息、手续费及佣金的现金              8,145,092,674.33        7,298,508,349.51
       向其他金融机构拆入资金净增加额                                   500,000,000.00
       拆入资金净增加额
       返售业务资金净减少额                      2,460,553,907.06          974,144,258.51
       回购业务资金净增加额                        984,337,647.81        2,408,016,205.03
       代理买卖证券收到的现金净额                5,531,104,471.31        6,879,240,180.43
       代理承销证券收到的现金净额                  518,992,476.60
       收到其他与经营活动有关的现金              2,670,037,272.37        3,968,644,202.85
         经营活动现金流入小计                   20,310,118,449.48       22,805,240,382.94
       为交易目的而持有的金融资产净增加额        5,248,097,030.01
       向其他金融机构拆入资金净减少额            1,506,694,641.56
       返售业务资金净增加额
       融出资金净增加额                          7,762,672,955.56        1,896,642,243.59
       代理承销证券支付的现金净额                                        1,036,626,072.36
       支付利息、手续费及佣金的现金              2,006,566,115.60        1,576,511,473.39
       支付给职工及为职工支付的现金              2,458,604,270.55        2,253,267,774.40
       支付的各项税费                              754,784,020.93          904,782,371.45
       支付其他与经营活动有关的现金                920,236,785.98        3,697,396,162.45
         经营活动现金流出小计                   20,657,655,820.19       11,365,226,097.64
           经营活动产生的现金流量净额             -347,537,370.71       11,440,014,285.30
     二、投资活动产生的现金流量:
       收回投资收到的现金                        2,383,051,276.08          173,788,900.39
       取得投资收益收到的现金                      697,530,692.77          693,984,026.30
       处置固定资产、无形资产和其他长期资           34,796,214.60              700,890.42
     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                  3,082,075.98
         投资活动现金流入小计                      3,118,460,259.43         868,473,817.11
       投资支付的现金                            1,551,175,626.37
       购建固定资产、无形资产和其他长期资          137,916,812.98           74,298,028.33
     产支付的现金
       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                  7,829,120.00            9,673,136.13
         投资活动现金流出小计                    1,696,921,559.35           83,971,164.46
           投资活动产生的现金流量净额            1,421,538,700.08          784,502,652.65
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                        2,924,728,967.24
       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                        3,223,588,547.81        5,191,282,353.92
       发行债券收到的现金                       34,275,154,901.86       13,979,344,881.23
       收到其他与筹资活动有关的现金
         筹资活动现金流入小计                   40,423,472,416.91       19,170,627,235.15
       偿还债务支付的现金                       28,188,776,046.67       21,108,291,117.82
       分配股利、利润或偿付利息支付的现金        1,574,612,813.98        1,968,805,017.52
       其中:子公司支付给少数股东的股利、                                   20,334,815.71
     利润
       支付其他与筹资活动有关的现金              6,040,803,676.98           25,340,924.66
         筹资活动现金流出小计                   35,804,192,537.63       23,102,437,060.00
           筹资活动产生的现金流量净额            4,619,279,879.28       -3,931,809,824.85
     四、汇率变动对现金及现金等价物的影响            1,702,822.76           -8,238,922.96
     五、现金及现金等价物净增加额                5,694,984,031.41        8,284,468,190.14
       加:期初现金及现金等价物余额               36,994,295,233.36       30,813,274,515.71
     六、期末现金及现金等价物余额                 42,689,279,264.77       39,097,742,705.85
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    母公司现金流量表
    
    2020年1—9月
    
    编制单位:中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                      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:
       收取利息、手续费及佣金的现金              7,236,376,236.71        6,645,787,274.89
       向其他金融机构拆入资金净增加额                                   500,000,000.00
       拆入资金净增加额
       返售业务资金净减少额                      2,375,978,059.19        2,171,074,309.17
       回购业务资金净增加额                      2,288,315,508.20        4,300,866,570.46
       代理买卖证券收到的现金净额                3,822,453,148.96        5,981,905,298.06
       代理承销证券收到的现金净额                  499,999,990.20
       收到其他与经营活动有关的现金                963,647,011.78           80,135,019.32
         经营活动现金流入小计                   17,186,769,955.04       19,679,768,471.90
       为交易目的而持有的金融资产净增加额        4,476,962,758.54        1,452,920,188.12
       向其他金融机构拆入资金净减少额            1,500,000,000.00
       返售业务资金净增加额
       融出资金净增加额                          5,846,689,070.44        2,181,704,077.97
       支付利息、手续费及佣金的现金              1,762,617,710.41        1,522,977,565.42
       支付给职工及为职工支付的现金              2,143,842,404.45        1,875,325,164.75
       支付的各项税费                              677,698,398.37          603,148,010.51
       支付其他与经营活动有关的现金                887,112,753.40        1,914,168,504.23
         经营活动现金流出小计                   17,294,923,095.61        9,550,243,511.00
           经营活动产生的现金流量净额             -108,153,140.57       10,129,524,960.90
     二、投资活动产生的现金流量:
       收回投资收到的现金                        2,069,552,774.92            7,620,285.11
       取得投资收益收到的现金                      695,886,028.02          625,763,456.72
       处置固定资产、无形资产和其他长期资           34,467,453.79              636,683.18
     产收回的现金净额
       收到其他与投资活动有关的现金
         投资活动现金流入小计                      2,799,906,256.73          634,020,425.01
       投资支付的现金                            1,130,288,935.82
                                                                                    -
       购建固定资产、无形资产和其他长期资          129,878,647.54           68,882,076.00
     产支付的现金
       支付其他与投资活动有关的现金
         投资活动现金流出小计                    1,260,167,583.36           68,882,076.00
           投资活动产生的现金流量净额            1,539,738,673.37          565,138,349.01
     三、筹资活动产生的现金流量:
       吸收投资收到的现金                        2,924,728,967.24
       取得借款收到的现金
       发行债券收到的现金                       34,275,154,901.86       13,979,344,881.23
       收到其他与筹资活动有关的现金
         筹资活动现金流入小计                   37,199,883,869.10       13,979,344,881.23
       偿还债务支付的现金                       26,606,102,043.00       15,091,705,893.99
       分配股利、利润或偿付利息支付的现金        1,557,541,940.38        1,923,397,161.11
       支付其他与筹资活动有关的现金              6,000,000,000.00
         筹资活动现金流出小计                   34,163,643,983.38       17,015,103,055.10
           筹资活动产生的现金流量净额            3,036,239,885.72       -3,035,758,173.87
     四、汇率变动对现金及现金等价物的影响             -540,790.91              497,231.12
     五、现金及现金等价物净增加额                4,467,284,627.61        7,659,402,367.16
       加:期初现金及现金等价物余额               31,144,630,542.24       23,679,795,569.18
     六、期末现金及现金等价物余额                 35,611,915,169.85      31,339,197,936.34
    
    
    法定代表人:李玮 主管会计工作负责人:袁西存 会计机构负责人:刘健
    
    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                 30,916,047,553.27   30,916,047,553.27
         其中:客户资金存款     26,166,973,136.69   26,166,973,136.69
       结算备付金                6,763,320,638.78    6,763,320,638.78
         其中:客户备付金        4,533,338,142.83    4,533,338,142.83
       拆出资金
       融出资金                 23,248,873,866.35   23,248,873,866.35
       衍生金融资产                 99,279,168.26       99,279,168.26
       存出保证金                5,904,321,055.36    5,904,321,055.36
       应收款项                    682,845,873.86      682,845,873.86
       应收款项融资
       合同资产
       买入返售金融资产         12,572,663,170.37   12,572,663,170.37
       持有待售资产
     金融投资:
         交易性金融资产         33,342,840,435.15   33,342,840,435.15
         债权投资                4,238,796,066.65    4,238,796,066.65
         其他债权投资           18,522,040,228.79   18,522,040,228.79
         其他权益工具投资        5,510,778,810.08    5,510,778,810.08
       长期股权投资                684,413,394.65      684,413,394.65
       投资性房地产                478,563,056.35      478,563,056.35
       固定资产                    922,585,745.39      922,585,745.39
       在建工程                      6,011,702.87        6,011,702.87
       无形资产                    199,045,699.85      199,045,699.85
       商誉
       递延所得税资产              912,312,812.39      912,312,812.39
       其他资产                  1,608,410,432.67    1,608,410,432.67
             资产总计           146,613,149,711.0   146,613,149,711.0
                                              9                  9
     负债:
       短期借款                  3,505,844,122.80    3,505,844,122.80
       应付短期融资款            3,933,260,648.75    3,933,260,648.75
       拆入资金                  3,576,357,727.96    3,576,357,727.96
       交易性金融负债              345,790,400.45      345,790,400.45
       衍生金融负债                 51,781,107.35       51,781,107.35
       卖出回购金融资产款       25,496,292,325.94   25,496,292,325.94
       代理买卖证券款           33,494,472,707.20   33,494,472,707.20
       代理承销证券款                2,754,987.94        2,754,987.94
       应付职工薪酬              1,886,590,611.06    1,886,590,611.06
       应交税费                    415,145,350.42      415,145,350.42
       应付款项                    372,940,587.24      372,940,587.24
       合同负债
       持有待售负债
       预计负债                        219,298.85          219,298.85
       长期借款                    342,501,181.02      342,501,181.02
       应付债券                 32,212,281,435.85   32,212,281,435.85
       其中:优先股
             永续债
       递延收益                      1,057,206.47        1,057,206.47
       递延所得税负债              320,586,199.25      320,586,199.25
       其他负债                  5,648,706,681.13    5,648,706,681.13
         负债合计               111,606,582,579.6   111,606,582,579.6
                                              8                  8
     所有者权益(或股东权益):
       实收资本(或股本)        6,271,763,180.00    6,271,763,180.00
       其他权益工具              6,000,000,000.00    6,000,000,000.00
       其中:优先股
             永续债              6,000,000,000.00    6,000,000,000.00
       资本公积                 10,857,565,036.70   10,857,565,036.70
       减:库存股
       其他综合收益               -429,340,321.18     -429,340,321.18
       盈余公积                  1,839,215,368.76    1,839,215,368.76
       一般风险准备              4,823,677,831.72    4,823,677,831.72
       未分配利润                4,546,698,234.15    4,546,698,234.15
       归属于母公司所有者权益   33,909,579,330.15   33,909,579,330.15
     (或股东权益)合计
       少数股东权益              1,096,987,801.26    1,096,987,801.26
         所有者权益(或股东权   35,006,567,131.41   35,006,567,131.41
     益)合计
         负债和所有者权益(或   146,613,149,711.0   146,613,149,711.0
     股东权益)总计                             9                   9
    
    
    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             2019年12月31日        2020年1月1日            调整数
     资产:
       货币资金                  24,255,923,383.28    24,255,923,383.28
         其中:客户资金存款      21,962,634,476.48    21,962,634,476.48
       结算备付金                 6,918,433,358.17     6,918,433,358.17
         其中:客户备付金         4,533,338,142.83     4,533,338,142.83
       拆出资金
       融出资金                  22,067,101,373.49    22,067,101,373.49
       衍生金融资产                  44,886,178.50        44,886,178.50
       存出保证金                 2,198,713,113.45     2,198,713,113.45
       应收款项                     198,105,519.85       198,105,519.85
       应收款项融资
       合同资产
       买入返售金融资产          11,196,667,010.73    11,196,667,010.73
       持有待售资产
     金融投资:
         交易性金融资产          26,950,179,078.85    26,950,179,078.85
         债权投资
         其他债权投资            18,522,040,228.79    18,522,040,228.79
         其他权益工具投资         7,308,610,637.77     7,308,610,637.77
       长期股权投资               5,788,748,524.18     5,788,748,524.18
       投资性房地产                  22,109,185.15        22,109,185.15
       固定资产                     259,727,177.29       259,727,177.29
       在建工程
       无形资产                     147,642,114.57       147,642,114.57
       商誉
       递延所得税资产               738,822,745.44       738,822,745.44
       其他资产                     645,065,297.19       645,065,297.19
         资产总计               127,262,774,926.70   127,262,774,926.70
     负债:
       短期借款
       应付短期融资款             4,535,023,662.45     4,535,023,662.45
       拆入资金                   3,017,622,384.62     3,017,622,384.62
       交易性金融负债               122,439,240.00       122,439,240.00
       衍生金融负债                   5,238,711.52         5,238,711.52
       卖出回购金融资产款        28,521,214,843.67    28,521,214,843.67
       代理买卖证券款            26,566,508,275.40    26,566,508,275.40
       代理承销证券款
       应付职工薪酬               1,474,231,886.12     1,474,231,886.12
       应交税费                     342,308,537.05       342,308,537.05
       应付款项                     125,904,209.71       125,904,209.71
       合同负债
       持有待售负债
       预计负债                         219,298.85           219,298.85
       长期借款
       应付债券                  28,676,476,588.94    28,676,476,588.94
       其中:优先股
             永续债
       递延收益                       1,057,206.47         1,057,206.47
       递延所得税负债               284,598,146.09       284,598,146.09
       其他负债                     488,375,291.57       488,375,291.57
         负债合计                94,161,218,282.46    94,161,218,282.46
     所有者权益(或股东权益):
       实收资本(或股本)         6,271,763,180.00     6,271,763,180.00
       其他权益工具               6,000,000,000.00     6,000,000,000.00
       其中:优先股
             永续债               6,000,000,000.00     6,000,000,000.00
       资本公积                  10,625,500,133.53    10,625,500,133.53
       减:库存股
       其他综合收益                 158,228,395.88       158,228,395.88
       盈余公积                   1,841,381,170.73     1,841,381,170.73
       一般风险准备               4,726,422,013.25     4,726,422,013.25
       未分配利润                 3,478,261,750.85     3,478,261,750.85
     所有者权益(或股东权益)    33,101,556,644.24    33,101,556,644.24
     合计
     负债和所有者权益(或股东   127,262,774,926.70   127,262,774,926.70
     权益)总计
    
    
    各项目调整情况的说明:
    
    □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
微信
扫描二维码
关注
证券之星微信
下载证券之星
郑重声明:以上内容与证券之星立场无关。证券之星发布此内容的目的在于传播更多信息,证券之星对其观点、判断保持中立,不保证该内容(包括但不限于文字、数据及图表)全部或者部分内容的准确性、真实性、完整性、有效性、及时性、原创性等。相关内容不对各位读者构成任何投资建议,据此操作,风险自担。股市有风险,投资需谨慎。
网站导航 | 公司简介 | 法律声明 | 诚聘英才 | 征稿启事 | 联系我们 | 广告服务 | 用户反馈
欢迎访问证券之星!请点此与我们联系 版权所有: Copyright © 1996-