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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 2021-07-02 Regulatory Filings
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
内幕信息知情人登记备案管理办法（2021年修订）
Regulatory Filings Classification · 95% confidence The document is titled as an internal management regulation for insider information registration and filing for Caitong Securities Co., Ltd., revised in 2021. It details the procedures, responsibilities, and definitions related to insider information and insider information persons, including confidentiality and penalties. It is a regulatory compliance document outlining internal controls and management practices rather than a financial report, earnings release, or announcement. It does not contain financial statements, earnings data, or voting results. It is not a report publication announcement since it is a full policy document, not a short notice. It fits best under Regulatory Filings (RNS) as a compliance and regulatory document that does not fit other specific categories.
2021-07-02 Chinese
提名人声明
Board/Management Information Classification · 95% confidence The document is a nomination statement for an independent director candidate at a listed company, detailing qualifications, legal compliance, and independence criteria. It is a formal declaration related to board member nomination rather than a financial report, earnings release, or regulatory filing. It does not contain financial data, audit information, or voting results. It is specifically about board/management information concerning the nomination of a director candidate.
2021-07-02 Chinese
第三届董事会第十二次会议决议公告
Board/Management Information Classification · 95% confidence The document is an announcement of resolutions passed at the company's board of directors meeting, including the nomination of an independent director candidate, appointment of the audit firm for the year, revision of information disclosure management systems, and the decision to convene an extraordinary shareholders meeting. It includes voting results and references to related notices published elsewhere. The document does not contain financial statements or detailed financial data, nor is it a transcript or presentation. It is a formal announcement of board/management decisions and changes, specifically about board nominations and audit firm appointment. Therefore, it fits the category of Board/Management Information (MANG). The document length is short and it is not a report itself but an announcement of board meeting resolutions.
2021-07-02 Chinese
关于变更会计师事务所的公告
Audit Report / Information Classification · 95% confidence The document is an announcement regarding the change of the company's accounting firm from Tianjian CPA to KPMG Huazhen CPA for the 2021 fiscal year. It details the background, qualifications, and independence of the new auditor, the communication with the previous auditor, and the approval process including the audit committee, independent directors, and the board of directors. It also states that the change requires shareholder approval at the general meeting. The document does not contain any financial statements or audit reports themselves, but rather is a formal announcement about the auditor change. This fits the category of Audit Report / Information (AR) as it relates to audit matters but is not a full annual report or audit report itself. The document length is 3375 characters, which is relatively short but contains substantive information about audit firm change, not just a brief notice. Therefore, the best classification is AR with high confidence. FY 2021
2021-07-02 Chinese
独立董事关于第三届董事会第十二次会议相关事项之事前认可及独立意见
Board/Management Information Classification · 95% confidence The document is a statement from independent directors regarding their prior approval and independent opinions on matters to be discussed at the 12th meeting of the third board of directors. It includes opinions on the nomination of an independent director candidate and the appointment of the 2021 audit firm. The content focuses on board/management decisions and approvals rather than presenting financial data or audit results. It does not contain financial statements or detailed audit reports, nor is it an announcement of voting results or a regulatory filing. Therefore, it fits best under Board/Management Information (MANG), as it relates to board decisions and management matters.
2021-07-02 Chinese
信息披露管理制度（2021年修订）
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), disclosure of major events, management of information disclosure, and related governance. It is a comprehensive internal policy document rather than an actual financial report or announcement. It does not contain financial statements, earnings data, voting results, or transaction details. It is not a report publication announcement or a certification. The document fits best under Governance Information (CGR) as it details the company's internal rules and governance practices related to information disclosure.
2021-07-02 Chinese

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