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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 2021-04-28 Audit Report / Informat…
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
2020年度内部控制评价报告
Audit Report / Information Classification · 95% confidence The document is titled as an "Internal Control Evaluation Report" for the year 2020 by 财通证券股份有限公司 (Caitong Securities Co., Ltd.). It discusses the evaluation of the company's internal control effectiveness as of December 31, 2020, including financial and non-financial internal control defects, audit opinions, scope of evaluation, standards used, and remediation status. The content is detailed and specific to internal control evaluation rather than a full annual report or audit report. It is not a brief announcement or a certification letter but a substantive report on internal control evaluation. This type of document aligns with the category of Audit Report / Information (AR), which includes standalone audit reports and internal control evaluation results, excluding full annual reports. Therefore, the correct classification is AR with high confidence. FY 2020
2021-04-28 Chinese
2020年年度报告摘要
Annual Report Classification · 100% confidence The document is titled as the "2020 年年度报告摘要" which translates to "2020 Annual Report Summary". It contains detailed financial data including main accounting data and financial indicators for the year 2020, quarterly financial data, company business overview, shareholder information, and bond information. The length is substantial (15,000 characters), and it includes comprehensive financial and operational information typical of an annual report. There is no indication that this is merely an announcement or a certification. Therefore, this document fits the definition of an Annual Report (10-K). FY 2020
2021-04-28 Chinese
关于预计2021年日常关联交易的公告
Regulatory Filings Classification · 95% confidence The document is a detailed announcement from a securities company regarding its expected related party transactions for the year 2021 and a review of related party transactions in 2020. It includes extensive financial data on transactions with related parties, pricing principles, impact analysis, and the approval process by the board and independent directors. The document is not a full annual or interim financial report but rather a regulatory disclosure about related party transactions, which is a common regulatory filing in many jurisdictions. It does not present comprehensive financial statements or management discussion and analysis typical of annual or quarterly reports. It also does not fit into categories like earnings release, capital update, or legal proceedings. Given the nature of the content and the detailed disclosure of related party transactions, this document best fits under Regulatory Filings (RNS), which is the fallback category for miscellaneous regulatory announcements that do not fit other specific categories.
2021-04-28 Chinese
2021年第一季度报告
Interim / Quarterly Report Classification · 100% confidence The document is titled '2021 年第一季度报告' which translates to '2021 First Quarter Report'. It contains detailed financial data including balance sheets, profit and loss statements, cash flow statements, and notes for the first quarter of 2021. The report is unaudited as stated in the text. The length of the document is about 15,000 characters, indicating it is a full report rather than a brief announcement. The content includes comprehensive financial statements and analysis for a period shorter than a full fiscal year, consistent with an interim or quarterly report. Therefore, the document fits the definition of an Interim / Quarterly Report (IR). Q1 2021
2021-04-28 Chinese
中信证券股份有限公司关于财通证券股份有限公司2020年度持续督导报告书
Audit Report / Information Classification · 95% confidence The document is titled as a "持续督导报告书" (Continuous Supervision Report) issued by 中信证券股份有限公司 (CITIC Securities Co., Ltd.) regarding 财通证券股份有限公司 (Caitong Securities Co., Ltd.) for the year 2020. It details the ongoing supervision work related to the issuance and listing of convertible bonds, including compliance with regulatory requirements, internal controls, information disclosure, and absence of violations during the supervision period. The document references regulatory approvals, verification reports, and continuous monitoring activities but does not contain full financial statements or detailed financial performance data. It is a report on the supervision activities by the sponsor institution rather than an annual report, audit report, or interim financial report. The document length is 4533 characters, which is relatively short and focused on regulatory compliance and supervision. This fits best with the category of Audit Report / Information (AR), as it is a standalone report related to regulatory supervision and verification, not a full annual report or earnings release. FY 2020
2021-04-28 Chinese
内部控制审计报告
Audit Report / Information Classification · 95% confidence The document is titled "内部控制审计报告" which translates to "Internal Control Audit Report." It references auditing standards and responsibilities related to internal control over financial reporting as of December 31, 2020. The document includes an audit opinion on the effectiveness of internal control over financial reporting. It is issued by a certified public accounting firm and includes formal attestations and certifications. The content is focused on the audit of internal controls rather than the full annual financial statements or management discussion. This matches the definition of an Audit Report / Information (AR), which includes standalone audit reports and applied accounting principles. The document length (13,592 characters) is sufficient to contain substantive audit content, not just an announcement or certification. Therefore, the correct classification is AR with high confidence.
2021-04-28 Chinese

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