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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 2022-04-14 Management Reports
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
2021年度监事会工作报告
Management Reports Classification · 95% confidence The document is titled '2021 年度监事会工作报告' which translates to '2021 Supervisory Board Work Report'. It details the supervisory board's activities, evaluations of company operations, financial management, internal controls, compliance risk management, and information disclosure for the year 2021. The content is a comprehensive report on the supervisory board's work and oversight for the fiscal year 2021. It is not an announcement or a brief summary but a detailed report on governance and supervisory activities. This fits the category of a Management Report (MDA), which includes management's detailed explanation of financial results, business trends, and outlook. The document is not an Annual Report (10-K) or Audit Report (AR) as it focuses on supervisory board activities rather than full financial statements or audit opinions. It is also not a Regulatory Filing (RNS) or Report Publication Announcement (RPA) because it contains substantive content rather than just an announcement or certification. Therefore, the best classification is Management Reports (MDA).
2022-04-14 Chinese
内部控制自我评价报告
Audit Report / Information Classification · 95% confidence The document is titled '2021 年度内部控制评价报告' which translates to '2021 Annual Internal Control Evaluation Report'. It discusses the evaluation of the company's internal control effectiveness as of December 31, 2021, including detailed sections on the scope, procedures, methods, and standards for internal control evaluation. It also includes conclusions on the absence of significant internal control deficiencies and mentions specific incidents affecting internal control. The document is comprehensive and contains substantive content related to internal control evaluation rather than just an announcement or summary. This type of report is typically classified as an Audit Report / Information (AR) because it focuses on internal control evaluation, which is a key part of audit and regulatory compliance but is not a full annual report (10-K) or interim report. The length (4939 characters) and detailed content confirm it is the report itself, not just an announcement. Therefore, the appropriate classification is AR with high confidence. FY 2021
2022-04-14 Chinese
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 7th meeting of the 10th Board of Directors of Northeast Securities Co., Ltd. It includes voting results on various reports and proposals related to the company's 2021 fiscal year, such as the Board work report, financial statements, profit distribution, annual report, compliance reports, risk management reports, remuneration reports, and appointment of auditors. The document also mentions that these reports will be submitted to the 2021 Annual General Meeting (AGM) for approval. The document is not the actual annual report or financial statements but a board meeting resolution announcement. It is a formal disclosure of board decisions, which fits the category of Board/Management Information (MANG). The document length is 4089 characters, which is relatively short and consistent with a meeting resolution announcement rather than a full report. Therefore, the correct classification is MANG with high confidence.
2022-04-14 Chinese
关于2022年度第四期短期融资券发行结果的公告
Capital/Financing Update Classification · 100% confidence The document is an announcement regarding the issuance results of a short-term financing bond by Northeast Securities Co., Ltd. It includes details such as issuance date, amount, interest rate, and subscription information. This fits the description of a Capital/Financing Update, as it relates to company fundraising and financing activities. The document is short and focused on the issuance results, not a full financial report or audit.
2022-04-12 Chinese
东北证券股份有限公司2021年面向专业投资者公开发行公司债券（第一期）（品种一）2022年付息公告
Capital/Financing Update Classification · 95% confidence The document is titled as a 2022 interest payment announcement for a corporate bond issued by Northeast Securities Co., Ltd. It details the bond's basic information, interest payment schedule, tax information, and payment procedures. The content focuses on the announcement of the interest payment date and related details for bondholders, rather than presenting financial statements, audit results, or management commentary. The document length is 2345 characters, which is relatively short and consistent with an announcement rather than a full report. There is no indication of it being a financial report, regulatory filing, or other types of filings such as earnings release or management report. Therefore, this document fits best as a Capital/Financing Update (CAP) because it relates to bond issuance and interest payment information, which is a financing activity update.
2022-04-07 Chinese
第十届董事会2022年第五次临时会议决议公告
Board/Management Information Classification · 95% confidence The document is a detailed announcement of resolutions from the 10th Board of Directors' 5th extraordinary meeting of Northeast Securities Co., Ltd. It includes the appointment of a Chief Information Officer and revisions to the company's fund-raising management system. The content focuses on board decisions, governance, and management policies related to the use of raised funds. There are no financial statements or quarterly/yearly financial results presented. The document is not a report itself but an official announcement of board meeting resolutions and related governance matters. Therefore, it fits best under Board/Management Information (MANG). The document length and detail confirm it is not a brief announcement or a simple notice but a substantive board meeting resolution disclosure.
2022-04-01 Chinese

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