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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 2023-10-30 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关于第九届董事会第三十次会议相关事项的独立意见
Board/Management Information Classification · 95% confidence The document is an independent directors' opinion on matters discussed at the 30th meeting of the 9th board of directors, including the appointment of a general manager and the reappointment of an accounting firm for auditing the 2023 financial report and internal control audit. It contains no actual financial data or detailed financial statements but rather expresses independent opinions on governance and procedural compliance. This aligns with Board/Management Information (MANG) as it relates to board decisions and management appointments rather than a full audit report or annual report. The document length is short and focused on governance matters, not a full report or announcement of a report publication.
2023-10-30 Chinese
西南证券股份有限公司章程
Governance Information Classification · 100% confidence The document is titled as the "章程" (Articles of Association or Company Bylaws) of Southwest Securities Co., Ltd. It contains detailed provisions about the company's governance structure, shareholder rights, board and management roles, share issuance and transfer, shareholder meetings, and other corporate governance matters. It references multiple amendments approved by shareholders and regulatory bodies over the years. The content is a comprehensive governance document outlining internal rules and procedures rather than a financial report, announcement, or meeting minutes. Therefore, it fits the category of Governance Information (CGR), which covers reports detailing the company's internal rules, board structure, and governance practices.
2023-10-30 Chinese
西南证券股份有限公司关于续聘会计师事务所的公告
Regulatory Filings Classification · 95% confidence The document is an announcement by Southwest Securities Co., Ltd. regarding the reappointment of an accounting firm (Tianjian CPA Firm) for auditing the company's 2023 financial report and internal control audit. It details the qualifications, independence, and audit fees of the proposed auditor, as well as the approval process by the audit committee, independent directors, and board of directors. The document does not contain actual financial statements or audit results but is a formal announcement about the appointment of the auditor for the upcoming audit period. It is not an audit report itself, nor an annual or interim report. Given the content and length (3547 characters), it fits best as a Regulatory Filing (RNS) because it is a regulatory announcement about auditor appointment and related procedures, not the audit report or financial report itself.
2023-10-30 Chinese
西南证券股份有限公司关于公司总经理变更的公告
Board/Management Information Classification · 95% confidence The document is an announcement regarding a change in the company's general manager, including the resignation of the previous general manager and the appointment of a new one. It contains no financial data, no report or presentation, and no mention of voting results or legal proceedings. The content is focused on management changes. Therefore, it fits the category of Board/Management Information (MANG). The document length is short and it is not a report publication announcement or regulatory filing. Hence, the classification is MANG with high confidence.
2023-10-30 Chinese
西南证券股份有限公司第九届董事会第三十次会议决议公告
Board/Management Information Classification · 95% confidence The document is a detailed announcement of resolutions passed at a board meeting of Southwest Securities Co., Ltd. It includes multiple agenda items such as amendments to the company charter, committee rules, appointment of a new general manager, approval of the 2023 third quarter report, approval of the 2022 anti-money laundering audit report, appointment of an audit firm for 2023 financial reports, internal organizational adjustments, a donation proposal, and scheduling of a shareholders meeting. The document is not the actual quarterly report or audit report but a formal announcement of board decisions and approvals. It also references other announcements published simultaneously elsewhere. The primary content is about board decisions and management changes, including the appointment of a new general manager. Therefore, the document fits best under Board/Management Information (MANG). The document length is 2323 characters, which is relatively short and consistent with an announcement rather than a full report. Hence, the classification is MANG with high confidence.
2023-10-30 Chinese
西南证券股份有限公司第九届监事会第十八次会议决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Southwest Securities regarding the approval of the company's 2023 third quarter report and the decision to conduct a departure audit for a resigning general manager. It includes voting results and meeting details but does not contain the actual financial report or detailed financial data. The document is short (613 characters) and serves as an official announcement of meeting decisions rather than the report itself. Therefore, it fits best under Regulatory Filings (RNS) as a general regulatory announcement and meeting resolution notice rather than an Interim Report (IR) or Audit Report (AR).
2023-10-30 Chinese

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