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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 2,680 across all filing types
Latest filing 2022-04-15 Investor Presentation
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
关于召开2021年度网上业绩说明会的公告
Investor Presentation Classification · 95% confidence The document is an announcement about the scheduling of an online performance explanation meeting (业绩说明会) for the 2021 annual report. It mentions the date and time of the meeting, the participants, and how investors can submit questions. The document does not contain the actual annual report or financial data but rather invites investors to attend a presentation discussing the report. The document length is short (794 characters), and it serves as a notice for an upcoming investor presentation event. Therefore, it fits the category of Investor Presentation (IP) rather than the Annual Report (10-K) or Report Publication Announcement (RPA).
2022-04-15 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 specialized audit report concerning the related party transactions and non-operating fund occupation involving the controlling shareholders and other related parties of Northeast Securities Co., Ltd. It includes an audit opinion issued by Zhongzhun Certified Public Accountants, references to regulatory requirements by the China Securities Regulatory Commission, and detailed financial tables about fund occupation and related party transactions for the year 2021. The document is not a full annual report but a standalone audit-related report focusing on a specific issue (related party fund transactions). It contains substantive financial data and audit findings but is not a general financial statement report like a 10-K or interim report. It is not an announcement or a certification letter but a detailed audit report on a specific matter. Therefore, the appropriate classification is Audit Report / Information (AR).
2022-04-14 Chinese
内部控制鉴证报告
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 Zhongzhun Certified Public Accountants and addresses the internal control over financial reporting of Northeast Securities Co., Ltd. as of December 31, 2021. The document includes an audit opinion on the effectiveness of internal controls, references to auditing standards, and is signed and dated April 13, 2022. The content is focused on the audit of internal controls rather than the full annual financial statements or management discussion. It is a standalone audit report related to internal control over financial reporting, not a full annual report or interim report. Therefore, it fits the category of Audit Report / Information (AR). The document length is substantial (15,000 characters), indicating it is the report itself, not just an announcement or certification. Hence, the classification is AR with high confidence.
2022-04-14 Chinese
2021年年度审计报告
Audit Report / Information Classification · 100% confidence The document is titled as an "审计报告" (Audit Report) for the fiscal year 2021 of 东北证券股份有限公司 (Northeast Securities Co., Ltd.). It includes detailed financial statements such as consolidated balance sheets, profit and loss statements, cash flow statements, and notes to the financial statements. The report is signed by auditors and dated April 13, 2022. The length of the document (15,000 characters) and the presence of comprehensive financial data confirm it is the actual audit report, not just an announcement or certification. Therefore, the document fits the category of Audit Report / Information (AR).
2022-04-14 Chinese
2021年度董事会工作报告
Board/Management Information Classification · 95% confidence The document is titled '2021 年度董事会工作报告' which translates to '2021 Annual Board of Directors Work Report'. It details the board's activities, governance, strategic planning, risk management, and operational oversight for the year 2021. It includes comprehensive discussion of the board's role, decisions, and future plans for 2022. The content focuses on board and management information rather than financial statements or audit results. There is no indication that this is an annual report (10-K), audit report, or earnings release. The document is a detailed report on the board's work and governance, fitting the category of Board/Management Information (MANG). The document length (7384 characters) supports it being a substantive report rather than a brief announcement or certification. Therefore, the appropriate classification is MANG with high confidence.
2022-04-14 Chinese
监事会决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the Supervisory Board (监事会) of Dongbei Securities Co., Ltd. It details the meeting held on April 13, 2022, including the approval of various reports such as the 2021 Supervisory Board Work Report, the 2021 Annual Report and its summary, the 2021 Financial Final Accounts Report, the 2021 Profit Distribution Proposal, and other related reports. The document states that these reports still need to be submitted to the 2021 Annual General Meeting (AGM) for approval. The document is a formal announcement of the meeting's resolutions and approvals, not the reports themselves. It is relatively short (1814 characters) and serves as a disclosure of meeting decisions rather than containing full financial data or the reports themselves. Therefore, it fits best under the category of Regulatory Filings (RNS), which is the fallback for announcements and disclosures that do not constitute the full report or detailed financial data.
2022-04-14 Chinese

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