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Hongta Securities Co.,Ltd. — Investor Relations & Filings

Ticker · 601236 ISIN · CNE100003PY7 LEI · 300300E1004853000006 Shanghai Stock Exchange Financial and insurance activities
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Filings indexed 815 across all filing types
Latest filing 2020-03-29 Audit Report / Informat…
Country CN China
Listing Shanghai Stock Exchange 601236

About Hongta Securities Co.,Ltd.

https://www.hongtastock.com/

Hongta Securities Co., Ltd. provides a broad spectrum of financial services, focusing on securities brokerage, investment banking, and asset management. The firm facilitates capital market transactions through underwriting and sponsorship of equity and debt instruments, alongside providing strategic financial advisory for corporate restructurings and acquisitions. Its service portfolio includes proprietary trading, margin trading, and short selling, catering to both retail and institutional investors. Additionally, the company offers specialized investment consulting and wealth management solutions. By integrating professional research with execution capabilities, the firm supports client objectives in investment and financing. The operational structure is designed to manage diverse financial products while maintaining a focus on risk management and regulatory compliance within the capital markets.

Recent filings

Filing Released Lang Actions
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' for the fiscal period ending December 31, 2019. It includes an audit opinion on the effectiveness of internal controls over financial reporting, signed by certified public accountants. The document is a standalone audit report focusing on internal control audit results rather than a full annual report or financial statements. The length is about 2622 characters, which is consistent with a detailed audit report but not a brief announcement. There is no indication that this is a report publication announcement or a certification letter. Therefore, the document fits the category of Audit Report / Information (AR).
2020-03-29 Chinese
东吴证券股份有限公司关于红塔证券股份有限公司2019年度募集资金存放与使用情况之专项核查报告
Audit Report / Information Classification · 95% confidence The document is titled as a "专项核查报告" (special inspection report) regarding the 2019 annual fundraising funds deposit and usage situation of Hongta Securities Co., Ltd. It is prepared by Dongwu Securities as the sponsor institution. The document references regulatory requirements related to fundraising management, details the amount of funds raised, their deposit, usage, and compliance with relevant laws and regulations. It includes an auditor's verification opinion and the sponsor's inspection opinion on the fundraising funds usage. The document is a standalone audit-type report focusing on the management and use of raised funds, not a full annual report or interim financial report. It does not contain comprehensive financial statements or management discussion of overall company performance. Therefore, it fits best into the category of Audit Report / Information (AR), which covers standalone audit reports and related regulatory compliance checks excluding full annual reports.
2020-03-29 Chinese
2020年度日常关联交易预计公告
Regulatory Filings Classification · 95% confidence The document is a detailed announcement regarding the company's expected related party transactions for the year 2020, including descriptions of transaction types, estimated amounts, pricing principles, and the impact on the company. It includes references to the need for shareholder approval at the upcoming general meeting and detailed disclosures about related parties and transaction procedures. The document is not a full financial report but rather a regulatory announcement about anticipated related party transactions requiring shareholder approval. It is not an annual report, interim report, earnings release, or management discussion. It fits best as a Regulatory Filing (RNS) because it is a compliance disclosure related to related party transactions and shareholder meeting agenda items, without containing full financial statements or detailed financial analysis. The document length (over 10,000 characters) and content confirm it is not a brief announcement or a report publication notice. Therefore, the classification is Regulatory Filings (RNS) with high confidence.
2020-03-29 Chinese
第六届监事会第十一次会议决议公告
Regulatory Filings Classification · 95% confidence The document is a detailed announcement of resolutions passed at the 11th meeting of the 6th Supervisory Board of Hongta Securities Co., Ltd. It includes voting results on various proposals such as the 2019 financial statements, profit distribution, annual report, debt financing, related party transactions, shareholder return plans, and a 2020 share rights issue plan. The document also covers supervisory board opinions on compliance, risk management, internal audit, internal control, anti-money laundering, and social responsibility reports for 2019. The content is primarily about supervisory board decisions and approvals rather than the full annual report or financial statements themselves. It is a formal announcement of meeting resolutions and approvals, not the actual reports or financial data. Therefore, it fits best under Regulatory Filings (RNS) as a general regulatory announcement and meeting resolution disclosure rather than a full Annual Report (10-K) or Capital/Financing Update (CAP).
2020-03-29 Chinese
2020年度配股公开发行证券预案的公告
Annual Report Classification · 95% confidence The document is a detailed announcement regarding a 2020 public offering of shares by 红塔证券股份有限公司 (Hongta Securities Co., Ltd.). It includes extensive financial data such as consolidated and parent company balance sheets, profit and loss statements, and cash flow statements for the years 2017 to 2019. The document also discusses the issuance method, pricing principles, share allotment, use of proceeds, and regulatory compliance. The presence of comprehensive financial statements and management discussion indicates this is a full financial report for the fiscal year 2020. The document is not merely an announcement of a report but contains substantive financial data and analysis. Therefore, it fits the definition of an Annual Report (10-K). FY 2020
2020-03-29 Chinese
2019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 2019 by Hongta Securities Co., Ltd. It discusses the evaluation of the company's internal control effectiveness as of December 31, 2019, including financial and non-financial internal control defects, audit opinions, and corrective actions. The content is focused on internal control evaluation and audit results rather than a full annual report or financial statements. It is a standalone report on internal control evaluation, which fits the definition of an Audit Report / Information (AR). The document length is 5751 characters, which is sufficient to be a full report rather than a brief announcement. There is no indication that this is a report publication announcement or a certification letter. Therefore, the most appropriate classification is AR (Audit Report / Information). FY 2019
2020-03-29 Chinese

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