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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 Audit Report / Informat…
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
内部控制自我评价报告
Audit Report / Information Classification · 95% confidence The document is titled '东北证券股份有限公司 2023 年度内部控制评价报告' which translates to 'Northeast Securities Co., Ltd. 2023 Annual Internal Control Evaluation Report'. It discusses the evaluation of the company's internal control effectiveness as of December 31, 2023, including financial and non-financial internal control defects, evaluation scope, procedures, and standards. It also includes an audit opinion consistency statement and references regulatory compliance and penalties related to internal control issues. The content is a detailed report on internal control evaluation for the fiscal year 2023, which is a standalone audit-related report focusing on internal controls rather than a full annual report or financial statements. It is not an announcement or a brief summary but a comprehensive evaluation report. Therefore, it fits best under the category 'Audit Report / Information (AR)'. 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（崔军）
Board/Management Information Classification · 95% confidence The document is titled as an "Independent Director's Work Report for 2023" from a specific independent director of the company. It details the director's activities, attendance at board and shareholder meetings, participation in committees, oversight of audits, information disclosure, related party transactions, remuneration, and other governance matters during the year 2023. The document 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 management/governance related report focusing on the independent director's role and activities. This fits best under Board/Management Information (MANG), which includes announcements or reports about board members and senior management activities. The document length (5579 characters) and 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2023年度独立董事述职报告（任冲）
Board/Management Information Classification · 95% confidence The document is titled as an "Independent Director's Work Report for 2023" from a company. It details the independent director's activities, attendance at board and shareholder meetings, oversight of audit work, review of related party transactions, information disclosure, remuneration, internal controls, and other governance matters during the year 2023. It is a detailed narrative report on the independent director's duties and observations rather than a financial report or announcement. It does not contain financial statements or earnings data, nor is it an announcement of voting results or a proxy statement. It is a governance-related report focusing on board and management oversight and compliance with governance regulations. Therefore, the most appropriate classification is Board/Management Information (MANG), which covers announcements related to board or senior management activities and reports.
2024-04-18 Chinese
监事会决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Dongbei Securities Co., Ltd. It details the meeting date, attendance, and the approval of several reports including the 2023 Annual Report, 2023 Annual Financial Report, profit distribution plan, and other compliance and management reports. The document states that these reports will be submitted to the 2023 Annual General Meeting for further review and are also disclosed on the official information website. The document itself does not contain the full annual report or detailed financial statements but rather the resolutions and approvals related to these reports. The document length is 2097 characters, which is relatively short and consistent with an announcement rather than the full report. Therefore, this document is best classified as a Regulatory Filing (RNS) because it is an official announcement of supervisory board resolutions and approvals related to the annual report and other matters, not the full annual report itself.
2024-04-18 Chinese
董事会对独立董事独立性评估的专项意见
Governance Information Classification · 95% confidence The document is a statement from the board of directors of Northeast Securities Co., Ltd. regarding the independence evaluation of the company's independent directors for the year 2023. It references regulatory rules about independent directors and provides an assessment and opinion on their independence. The content focuses on governance and compliance with independence requirements for board members, rather than financial results, audit opinions, or shareholder voting outcomes. It is not a full annual report, audit report, or earnings release. It is also not a notice of voting results or a proxy solicitation. The document fits best under Governance Information (CGR) as it details the company's internal governance practices related to independent directors' independence evaluation.
2024-04-18 Chinese
2023年年度报告
Annual Report Classification · 100% confidence The document contains detailed financial data, management discussion and analysis, company governance information, environmental and social responsibility sections, and an auditor's report with an unqualified opinion. It covers the full fiscal year 2023 (January 1 to December 31) and includes comprehensive financial statements and notes. The document is titled as an annual report and includes a profit distribution plan for 2023. The presence of audited financial statements and extensive company information confirms this is the official yearly report covering company activity and full financial performance, consistent with an Annual Report (10-K) filing. The document length (15,000 characters) and content depth confirm it is the report itself, not just an announcement or summary. FY 2023
2024-04-18 Chinese

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