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CAITONG SECURITIES CO.,LTD — Investor Relations & Filings

Ticker · 601108 ISIN · CNE100002V44 LEI · 300300E1006233000091 Shanghai Stock Exchange Financial and insurance activities
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Filings indexed 1,018 across all filing types
Latest filing 2022-05-20 Declaration of Voting R…
Country CN China
Listing Shanghai Stock Exchange 601108

About CAITONG SECURITIES CO.,LTD

https://www.ctsec.com/

Caitong Securities Co., Ltd. is a comprehensive financial services provider offering a wide range of investment and capital market solutions. The firm specializes in securities brokerage, investment banking, asset management, and investment consulting. It provides services including equity and debt underwriting, financial advisory for mergers and acquisitions, and margin trading and securities lending. Through its specialized subsidiaries, the company maintains a significant presence in futures brokerage and mutual fund management. The organization serves a diverse clientele of individual, institutional, and corporate investors, focusing on delivering integrated wealth management and financing strategies. Its operations emphasize technological integration and risk management to support capital market participation and corporate growth.

Recent filings

Filing Released Lang Actions
2021年年度股东大会决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is titled as a "2021 Annual General Meeting Resolution Announcement" for Caitong Securities Co., Ltd. It details the resolutions passed at the 2021 Annual General Meeting held on May 20, 2022, including voting results on various agenda items such as the 2021 annual report, financial statements, profit distribution, and board elections. The content focuses on the announcement of voting results and meeting details rather than the full annual report or financial statements themselves. The document length is about 5033 characters, which is consistent with a detailed announcement but not a full report. Therefore, this document fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA).
2022-05-20 Chinese
北京金杜（杭州）律师事务所关于财通证券股份有限公司2021年年度股东大会之法律意见书
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is a legal opinion letter from a law firm regarding the 2021 Annual General Meeting (AGM) of the company. It details the procedures of the AGM, including the convening, attendance, voting procedures, and results of various resolutions. The document does not contain the full annual report or financial statements but focuses on the legality and validity of the AGM process and voting outcomes. It is not a report of financial performance or management discussion but a legal opinion related to the AGM. Therefore, it fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA), as it officially reports the voting results of the AGM.
2022-05-20 Chinese
申万宏源证券承销保荐有限责任公司关于财通证券股份有限公司持续督导之保荐总结报告书
Capital/Financing Update Classification · 95% confidence The document is a detailed report titled '保荐工作总结报告书' (Sponsorship Work Summary Report) issued by a securities underwriting and sponsorship company regarding its continuous supervision of a convertible bond issuance by 财通证券股份有限公司. It references regulatory approvals, continuous supervision activities, legal compliance, and ongoing sponsorship duties. The content focuses on the sponsorship and supervision work related to a capital raising event (convertible bond issuance) and ongoing monitoring, rather than being a financial report or earnings release. It is not an announcement of a report but a substantive summary report on sponsorship work. This fits best under the category of Capital/Financing Update (CAP), as it relates to updates on company fundraising and capital structure changes, including the continuous supervision of the convertible bond issuance and related activities.
2022-05-17 Chinese
2021年年度股东大会会议文件
AGM Information Classification · 95% confidence The document is titled as the 2021 Annual General Meeting (AGM) materials for 财通证券股份有限公司, dated May 20, 2022. It contains detailed meeting agenda, reports for shareholder review and voting, including the 2021 Board of Directors work report, Supervisory Board work report, annual report, financial statements, profit distribution plan, related party transactions, audit firm reappointment, amendments to company bylaws, election of directors, and remuneration explanations. The content is comprehensive and clearly intended as meeting materials for the AGM, including procedural details, voting instructions, and extensive reports to be discussed and approved at the meeting. It is not a standalone annual report (10-K) or audit report (AR), nor is it a voting results announcement (DVA) or proxy solicitation (PSI). The document is too long and detailed to be a simple announcement or regulatory filing. Therefore, the document best fits the category of AGM Information (AGM-R).
2022-05-12 Chinese
信息披露管理制度
Governance Information Classification · 95% confidence The document is titled as an "Information Disclosure Management System" for a securities company, detailing principles, procedures, responsibilities, and regulatory compliance related to information disclosure. It extensively covers rules for periodic reports (annual, interim, quarterly), major event disclosures, internal controls, and roles of directors and officers in disclosure. It is a governance and compliance manual rather than a financial report, earnings release, or announcement. There is no indication of financial data, earnings, voting results, or specific event announcements. The document is a policy and governance framework for information disclosure management, fitting the Governance Information (CGR) category.
2022-04-28 Chinese
第三届监事会第十一次会议决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Caitong Securities Co., Ltd. It details the approval of various reports and proposals related to the 2021 annual report, 2022 first quarter report, financial statements, internal control evaluation, compliance reports, risk management, and other governance matters. The document includes voting results and confirms that these reports and proposals will be submitted to the shareholders' meeting for approval. The document length is 3567 characters, which is relatively short and primarily serves as a formal announcement of the Supervisory Board's resolutions rather than the full reports themselves. It does not contain the full financial statements or detailed financial data but rather summaries and approvals of these reports. Therefore, this document is best classified as a Regulatory Filing (RNS) because it is an official announcement of supervisory board resolutions and approvals related to various reports, not the reports themselves.
2022-04-28 Chinese

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