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Huatai Securities Co., Ltd — Investor Relations & Filings

Ticker · 601688 ISIN · CNE100001YQ9 LEI · 3003009ABT0UCWO79Q77 Shanghai Stock Exchange Financial and insurance activities
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Filings indexed 2,423 across all filing types
Latest filing 2022-03-30 Transaction in Own Shar…
Country CN China
Listing Shanghai Stock Exchange 601688

About Huatai Securities Co., Ltd

https://www.htsc.com.cn/

Huatai Securities is a leading technology-driven and integrated securities group offering a comprehensive suite of financial services. The company serves a substantial client base, including individual, corporate, and institutional clients, through its core business segments: wealth management, institutional services, investment management, and international business. The firm operates a prominent securities brokerage business and leverages a leading digital platform to deliver its services, supported by a highly collaborative, full-service business model.

Recent filings

Filing Released Lang Actions
北京市金杜（南京）律师事务所关于华泰证券股份有限公司A股限制性股票股权激励计划之回购注销部分限制性股票的法律意见书
Transaction in Own Shares Classification · 95% confidence The document is a legal opinion letter issued by a law firm regarding the repurchase and cancellation of restricted shares under a stock incentive plan by Huatai Securities Co., Ltd. It details the legal basis, approvals, and procedures related to the repurchase of shares. The document is not a financial report, earnings release, or management discussion. It is a legal opinion related to a share repurchase transaction. Therefore, it fits best under the category of Transaction in Own Shares (POS), which covers reports of the company buying back or selling its own shares (share repurchase/issuance). The document length is over 5,000 characters and contains substantive content, not just an announcement or certification, so it is not RPA or RNS.
2022-03-30 Chinese
华泰证券股份有限公司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. It details the reasons for the change, the new and old accounting firms, their qualifications, and the approval process including board and independent directors' opinions. It does not contain any financial statements or audit reports themselves but rather informs about the appointment and change process of the auditor. The document length is 4267 characters, which is relatively short and consistent with an announcement rather than a full audit report. Therefore, this document is best classified as an Audit Report / Information announcement about auditor change, but since it is not the audit report itself, it fits the category of Audit Report / Information (AR). FY 2022
2022-03-30 Chinese
华泰证券股份有限公司2021年年度报告
Annual Report Classification · 95% confidence The document contains detailed financial data, including net profit, asset values, and dividend distribution plans for the fiscal year 2021. It includes a CEO letter, company profile, risk disclosures, and comprehensive business and financial information. The presence of an audit report mention and extensive financial and operational details indicates this is a full annual report. The document length is substantial (15,000 characters), and it is not merely an announcement or certification. The content aligns with the characteristics of an Annual Report (10-K equivalent).
2022-03-30 Chinese
华泰证券股份有限公司独立董事关于提名公司董事候选人的独立意见
Board/Management Information Classification · 95% confidence The document is an independent opinion from independent directors regarding the nomination of candidates for the company's board of directors. It references company law, governance rules, and the nomination process for board candidates. There is no financial data, no report attached or referenced as published, and the content focuses on board/management information, specifically nominations for the board. Therefore, it fits the category of Board/Management Information (MANG). The document length is short and it is not an announcement of a report publication or regulatory filing. Confidence is high due to clear content focus on board nominations.
2022-03-30 Chinese
华泰证券股份有限公司关于独立非执行董事辞职的公告
Board/Management Information Classification · 100% confidence The document is an announcement regarding the resignation of an independent non-executive director and the nomination of a new candidate for the board. It discusses changes in the company's board composition and related compliance with regulatory guidelines. There is no financial data, earnings information, or report publication mentioned. This fits the category of Board/Management Information (MANG). The document length is short and focused solely on management changes, confirming the classification.
2022-03-30 Chinese
华泰证券股份有限公司2021年度内部控制审计报告
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 is issued by KPMG Huazhen LLP, a registered accounting firm, and addresses the effectiveness of internal controls over financial reporting as of December 31, 2021. The content includes auditor responsibilities, company responsibilities, and an audit opinion on internal control effectiveness. The document is relatively short (1151 characters) and is a standalone audit report focused on internal control, not a full annual report or financial statement. This matches the definition of an Audit Report / Information (AR) filing, which includes standalone audit reports and applied accounting principles. Therefore, the correct classification is AR with high confidence. FY 2021
2022-03-30 Chinese

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