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Southwest Securities Co.,Ltd. — Investor Relations & Filings

Ticker · 600369 ISIN · CNE0000016P6 LEI · 300300E1009950000030 Shanghai Stock Exchange Financial and insurance activities
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Filings indexed 2,281 across all filing types
Latest filing 2024-03-29 Board/Management Inform…
Country CN China
Listing Shanghai Stock Exchange 600369

About Southwest Securities Co.,Ltd.

http://www.swsc.com.cn

Southwest Securities Co.,Ltd. provides a comprehensive suite of financial services, including securities brokerage, investment banking, and asset management. The firm specializes in equity and debt underwriting, financial advisory, and merger and acquisition services. Its operations encompass proprietary trading, investment consulting, and wealth management for individual and institutional clients. Additionally, the company offers margin trading, short selling, and asset custody services. By leveraging an extensive branch network, it delivers integrated capital market solutions and diversified investment products. The organization focuses on facilitating corporate financing and providing professional research and advisory support to optimize client investment strategies.

Recent filings

Filing Released Lang Actions
西南证券股份有限公司独立董事2023年度工作报告（罗炜）
Board/Management Information Classification · 95% confidence The document is titled as an "Independent Director 2023 Annual Work Report" for Southwest Securities Co., Ltd. It details the independent director's activities, attendance, opinions on board matters, internal control, audit communications, and governance during the 2023 year. The content focuses on the director's duties, oversight, and compliance with regulatory requirements rather than presenting financial statements or audit results. It is a detailed management/board-related report about the director's work and governance role, not a full annual report, audit report, or financial statement. Therefore, it fits best under Board/Management Information (MANG), which covers announcements about board or senior management activities and reports on their roles and changes. The document length (6138 characters) and detailed content support this classification with high confidence.
2024-03-29 Chinese
西南证券股份有限公司2023年度内部控制评价报告
Audit Report / Information Classification · 95% confidence The document is titled as an "Internal Control Evaluation Report" for the year 2023 by 西南证券股份有限公司 (Southwest Securities Co., Ltd.). It discusses the evaluation of the company's internal control effectiveness as of December 31, 2023, including financial and non-financial internal control defects, audit opinions, and corrective actions. The content is focused on internal control assessment rather than full financial statements or annual performance. It is a specialized report on internal control evaluation, which aligns with the category of Audit Report / Information (AR), as it is a standalone audit-related report on internal controls, not a full Annual Report (10-K) or Interim Report (IR). The document length (4851 characters) is sufficient to be the report itself, not just an announcement. Therefore, the appropriate classification is AR with high confidence. FY 2023
2024-03-29 Chinese
西南证券股份有限公司第十届监事会第二次会议决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Southwest Securities Co., Ltd. It details the results of votes on various reports and proposals related to the company's 2023 fiscal year, including the Supervisory Board's work report, financial statements, profit distribution plan, annual report, ESG report, compliance report, risk assessment, internal control evaluation, and special report on the use of raised funds. The document is a formal announcement of the meeting decisions and voting outcomes rather than the full reports themselves. It is also relatively short (1761 characters) and does not contain detailed financial data or the full text of the reports. Therefore, it fits best into the category of Declaration of Voting Results & Voting Rights Announcements (DVA), as it officially announces the voting results of the Supervisory Board meeting on these matters, which are to be submitted to the shareholders' meeting for approval.
2024-03-29 Chinese
西南证券股份有限公司2023年度财务审计报告
Annual Report Classification · 98% confidence The document contains detailed financial statements including consolidated and parent company balance sheets, profit and loss statements, cash flow statements, and changes in equity. It also includes extensive audit report sections with audit opinions, basis for opinions, key audit matters, and responsibilities of management and auditors. The presence of detailed financial data, notes to financial statements, and an audit report dated March 29, 2024, covering the fiscal year ending December 31, 2023, indicates this is a full annual audited financial report. The document is about 15,000 characters long, which is consistent with a full report rather than a brief announcement or certification. Therefore, this document is best classified as an Annual Report (10-K equivalent).
2024-03-29 Chinese
西南证券股份有限公司募集资金年度存放与使用情况鉴证报告
Audit Report / Information Classification · 95% confidence The document is a detailed report titled "募集资金年度存放与使用情况鉴证报告" which translates to "Annual Verification Report on the Storage and Use of Raised Funds." It includes an auditor's verification opinion, management's responsibility statement, and detailed financial data on the use and management of raised funds for the year 2023. The document references regulatory guidelines from the China Securities Regulatory Commission and the Shanghai Stock Exchange regarding the management and use of raised funds. It contains substantive financial data, tables of fund usage, and auditor conclusions. This type of document is a specialized audit or assurance report on the use of capital raised by the company, distinct from a full annual report or earnings release. It is not merely an announcement or certification but a full verification report. Therefore, the most appropriate classification is "Audit Report / Information (AR)" as it is a standalone audit-related report focusing on the raised funds usage verification.
2024-03-29 Chinese
西南证券股份有限公司非经营性资金占用及其他关联资金往来情况的专项审计说明
Audit Report / Information Classification · 95% confidence The document is an audit report issued by certified public accountants (Pan-China) regarding the 2023 fiscal year financial statements of Southwest Securities Co., Ltd. It specifically focuses on a special audit of non-operating fund occupation and other related party fund transactions. The document includes an audit opinion, scope, management responsibilities, and a detailed summary table of related party transactions. It references regulatory guidelines from the China Securities Regulatory Commission and the Shanghai Stock Exchange. The content is a standalone audit report with detailed audit findings and conclusions, not a full annual report or a brief announcement. Therefore, it fits the category of an Audit Report / Information (AR). The document length (9095 characters) and detailed audit content support this classification with high confidence.
2024-03-29 Chinese

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