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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 2023-04-14 Regulatory Filings
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
关于拟续聘会计师事务所的公告
Regulatory Filings Classification · 95% confidence The document is an announcement by Dongbei Securities Co., Ltd. regarding the proposed reappointment of an accounting firm (Zhongzhun CPA Firm) as the auditor for the company's 2023 financial report and internal control audit. It details the auditor's background, qualifications, independence, audit fees, and the approval process by the board and independent directors. The document does not contain actual financial statements or audit results but is a formal announcement of the intention to reappoint the auditor, pending shareholder approval. The document length is 3458 characters, which is relatively short and consistent with an announcement rather than a full audit report. Therefore, this document fits best under the category of Audit Report / Information (AR) as it relates to audit matters but is not a full annual report or audit report itself. However, since it is an announcement about the auditor appointment and not the audit report or results, it is more appropriate to classify it as Regulatory Filings (RNS) because it is a regulatory announcement about audit firm reappointment rather than the audit report itself.
2023-04-14 Chinese
独立董事候选人声明（崔军）
Board/Management Information Classification · 95% confidence The document is a formal declaration by an independent director candidate of a company, stating compliance with various legal and regulatory requirements for serving as an independent director. It includes detailed attestations about qualifications, independence, and absence of conflicts of interest. There are no financial statements, earnings data, or report summaries. The document is a regulatory compliance statement related to board/management appointments rather than a financial report or announcement of voting results. Therefore, it fits best under Board/Management Information (MANG). The document length is 4336 characters, which is consistent with a detailed declaration rather than a brief announcement or a full report.
2023-04-14 Chinese
2022年社会责任报告
Environmental & Social Information Classification · 100% confidence The document is titled '2022 年度社会责任暨环境、社会与公司治理（ESG）报告' which translates to '2022 Annual Social Responsibility and Environmental, Social and Corporate Governance (ESG) Report'. It contains detailed information on the company's ESG strategy, management, performance metrics, stakeholder engagement, and social responsibility initiatives. The content focuses on environmental, social, and governance factors rather than financial results or regulatory filings. The length is substantial (15,000 characters), indicating a full report rather than a brief announcement. This matches the description of an Environmental & Social Information report (ESG report). Therefore, the appropriate classification is 'SR' (Environmental & Social Information).
2023-04-14 Chinese
独立董事提名人声明
Board/Management Information Classification · 100% confidence The document is a formal public statement from the board of directors of Dongbei Securities Co., Ltd. nominating candidates for independent directors of the company's eleventh board. It contains detailed declarations about the qualifications, compliance with laws and regulations, and independence of the nominees. There is no financial data, earnings information, or report publication mentioned. The content is focused on board/management information, specifically the nomination of board members. Therefore, the document fits the category of Board/Management Information (MANG). The document length is 4607 characters, which is sufficient for a detailed announcement but not a full report.
2023-04-14 Chinese
年度关联方资金占用专项审计报告
Audit Report / Information Classification · 95% confidence The document is a detailed special report regarding the funds transactions between the controlling shareholders and other related parties of Northeast Securities Co., Ltd. It includes an audit opinion from Zhongzhun Certified Public Accountants, references to regulatory guidelines from the China Securities Regulatory Commission, and a comprehensive summary table of non-operating fund occupation and other related party fund transactions for the year 2022. The document contains audited financial data and detailed explanations, not just an announcement or certification. It is a standalone audit-related report focusing on a specific aspect of the company's financial dealings, separate from the full annual report. Therefore, it fits best under the category of Audit Report / Information (AR).
2023-04-14 Chinese
2022年年度审计报告
Audit Report / Information Classification · 95% confidence The document is titled as an audit report for the fiscal year 2022 of 东北证券股份有限公司 (Northeast Securities Co., Ltd.). It contains detailed audit opinions, key audit matters, and extensive financial statements including consolidated balance sheets, profit and loss statements, cash flow statements, and notes to the financial statements. The presence of an auditor's opinion, detailed audit procedures, and comprehensive financial data confirms this is a standalone audit report rather than a full annual report or a brief announcement. The document length (15,000 characters) and content depth further support this classification. Therefore, the document fits the category of Audit Report / Information (AR).
2023-04-14 Chinese

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