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NORTHEAST SECURITIES CO.,LTD. — Investor Relations & Filings

Ticker · 000686 ISIN · CNE0000004H9 LEI · 300300E1002922000054 Shenzhen Stock Exchange Financial and insurance activities
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Filings indexed 2,678 across all filing types
Latest filing 2024-04-18 Board/Management Inform…
Country CN China
Listing Shenzhen Stock Exchange 000686

About NORTHEAST SECURITIES CO.,LTD.

https://www.nesc.cn

Northeast Securities Co., Ltd. provides a comprehensive suite of financial services tailored for individual and institutional clients. Its core operations encompass securities brokerage, investment banking, asset management, and investment consulting. The firm facilitates capital raising through underwriting and sponsorship of equity and debt instruments, while also offering specialized financial advisory services. Additionally, the company engages in proprietary trading and provides wealth management solutions supported by dedicated research capabilities. By maintaining an extensive service network, the organization delivers integrated investment strategies and risk management solutions across various asset classes.

Recent filings

Filing Released Lang Actions
董事会决议公告
Board/Management Information Classification · 95% confidence The document is a detailed announcement of the resolutions passed at the third meeting of the 11th Board of Directors of Northeast Securities Co., Ltd. It includes voting results on various reports and proposals related to the company's 2023 annual work, financial results, profit distribution, appointment of directors, and other governance matters. The document also mentions that these resolutions will be submitted to the 2023 Annual General Meeting (AGM) for approval. The content is focused on board meeting decisions and governance-related reports rather than the full annual report itself. The document length is 6769 characters, which is substantial and contains detailed meeting minutes and resolutions, not just an announcement of a report publication. Therefore, this document fits best under the category of Board/Management Information (MANG), as it announces changes and decisions made by the board of directors and senior management.
2024-04-18 Chinese
关于拟续聘会计师事务所的公告
Regulatory Filings Classification · 95% confidence The document is an announcement regarding the proposed reappointment of an accounting firm (中准会计师事务所) as the auditor for the company's 2024 financial report and internal control audit. It details the auditor's background, qualifications, audit fees, and the board's approval process. There is no actual financial data or audit report included, only information about the appointment process and related resolutions. The document is relatively short (3259 characters) and serves as a formal announcement of the auditor reappointment, not the audit report itself. Therefore, it fits best under the category of Regulatory Filings (RNS), which covers general regulatory announcements and compliance documents that do not fit other specific categories.
2024-04-18 Chinese
2023年年度报告摘要
Annual Report Classification · 100% confidence The document is titled as "2023年年度报告摘要" which translates to "2023 Annual Report Summary". It contains detailed financial data for the year 2023, including revenue, net profit, assets, equity, quarterly financial data, and explanations of accounting policy changes. It also includes information about the audit report with an unqualified opinion, shareholder information, and business overview. The length is substantial (15,000 characters), and the content is comprehensive financial and operational data for the full fiscal year 2023. This matches the definition of an Annual Report (10-K) which covers company activity and full financial performance for the year. It is not a mere announcement or summary but contains substantive financial data and analysis. Therefore, the correct classification is Annual Report (10-K). FY 2023
2024-04-18 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' for the fiscal year ending December 31, 2023. It is issued by Zhongzhun Certified Public Accountants and discusses the audit of the company's internal control over financial reporting. The content includes auditor responsibilities, company responsibilities, and an audit opinion on the effectiveness of internal controls. This is a standalone audit report focused on internal control over financial reporting, not a full annual report or interim report. It is not a brief announcement or a certification letter but a detailed audit report. Therefore, the document fits the category of Audit Report / Information (AR). The document length is 4732 characters, which is sufficient to contain substantive audit content rather than just an announcement. FY 2023
2024-04-18 Chinese
东北证券股份有限公司2023年度独立董事述职报告（史际春）
Board/Management Information Classification · 95% confidence The document is titled as an "Independent Director's Work Report for 2023" from Northeast Securities Co., Ltd. It details the independent director's activities, attendance at board and shareholder meetings, oversight of governance, audit, related party transactions, information disclosure, remuneration, and other governance matters during the year 2023. The content is a detailed narrative report on the director's duties and observations rather than a financial report or announcement. It is not an annual report, audit report, earnings release, or any other financial statement. It is a governance-related report focusing on the independent director's role and activities, which fits best under Board/Management Information (MANG). The document length (5989 characters) and detailed content confirm it is a substantive report, not a brief announcement or certification. Therefore, the classification is MANG with high confidence.
2024-04-18 Chinese
东北证券股份有限公司董事会审计委员会关于会计师事务所2023年度履职情况评估暨履行监督职责情况的报告
Audit Report / Information Classification · 95% confidence The document is a detailed report from the Board Audit Committee evaluating the performance and supervision of the accounting firm for the company's 2023 annual audit. It discusses the audit firm's qualifications, the audit process for the 2023 financial statements and internal controls, communication with auditors, and the committee's oversight activities. The document includes references to the 2023 annual financial report audit and internal control audit, with an emphasis on the audit committee's supervisory role and the audit firm's fulfillment of duties. The content is focused on audit evaluation and oversight rather than the full annual report itself. This matches the definition of an Audit Report / Information (AR), which includes standalone audit reports and results of internal or regulatory audits, excluding the full Annual Report. The document length is 3124 characters, which is sufficient for a substantive audit report but not a full annual report. Therefore, the classification is AR with high confidence. FY 2023
2024-04-18 Chinese

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