Skip to main content
Southwest Securities Co.,Ltd. logo

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

Ticker · 600369 ISIN · CNE0000016P6 LEI · 300300E1009950000030 Shanghai Stock Exchange Financial and insurance activities
Open in API
Filings indexed 2,281 across all filing types
Latest filing 2023-08-01 Regulatory Filings
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
重庆渝富资本运营集团有限公司关于《关于西南证券股份有限公司股票交易异常波动的征询函》的复函
Regulatory Filings Classification · 95% confidence The document is a reply letter from 重庆渝富资本运营集团有限公司 to 西南证券股份有限公司 regarding an inquiry about abnormal stock trading fluctuations. It states that no undisclosed major information or transactions occurred during the period in question. The document is very short (306 characters) and is a direct response to a regulatory inquiry rather than a financial report or announcement of a report. It does not contain financial data, management changes, voting results, or other report content. This fits best under Regulatory Filings (RNS), which covers miscellaneous regulatory announcements and compliance communications that do not fit other categories.
2023-08-01 Chinese
西南证券股份有限公司股票交易异常波动公告
Regulatory Filings Classification · 95% confidence The document is a public announcement by Southwest Securities Co., Ltd. regarding abnormal stock price fluctuations over three consecutive trading days, as per the Shanghai Stock Exchange trading rules. It includes details about the stock price changes, company self-inspection results, confirmation of no undisclosed material information, and risk warnings to investors. The document is short (1387 characters) and serves as a regulatory disclosure about stock price volatility rather than a financial report or detailed analysis. It does not contain financial statements, management discussion, or audit information. It fits the category of a regulatory announcement related to stock trading abnormalities, which aligns with the Regulatory Filings (RNS) category as a general regulatory announcement that does not fit other specific categories.
2023-08-01 Chinese
西南证券股份有限公司股票交易风险提示公告
Regulatory Filings Classification · 95% confidence The document is a stock trading risk warning announcement from Southwest Securities Co., Ltd. It highlights recent stock price movements, market risk factors, and confirms no major changes in company operations or undisclosed material information. The document is short (754 characters) and serves as a risk notice to investors rather than a financial report or detailed regulatory filing. It does not contain financial statements, management discussion, or audit information. It is not an announcement of voting results, nor a capital or financing update. The content fits best under general regulatory announcements related to compliance and investor warnings, which corresponds to Regulatory Filings (RNS).
2023-07-31 Chinese
西南证券股份有限公司章程
Governance Information Classification · 95% confidence The document is titled "章程" which translates to "Articles of Association" or "Company Bylaws." 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 shareholder meetings and amendments to the articles over many years, indicating it is a comprehensive governance document. There is no indication that this is an announcement or a brief summary; rather, it is the full text of the company's internal governance rules. This fits the definition of Governance Information (CGR), which covers reports detailing the company's internal rules, board structure, and governance practices. The document length (15,000 characters) and content confirm it is not a mere announcement or a short notice. Therefore, the appropriate classification is CGR with high confidence.
2023-07-25 Chinese
西南证券股份有限公司非公开发行限售股上市流通公告
Share Issue/Capital Change Classification · 95% confidence The document is an official announcement from Southwest Securities Co., Ltd. regarding the listing and circulation of restricted shares from a non-public issuance. It details the number of shares becoming freely tradable, the dates, shareholder commitments, and includes verification from the sponsoring institution. The content focuses on the lifting of restrictions on previously locked shares and their subsequent listing for trading. This type of announcement is about share capital changes specifically related to restricted shares becoming tradable, which fits the category of Share Issue/Capital Change (SHA). The document is not a full financial report, earnings release, or regulatory filing but a specific capital change announcement. The document length is 2382 characters, which is consistent with an announcement rather than a full report.
2023-07-18 Chinese
华福证券有限责任公司关于西南证券股份有限公司非公开发行限售股上市流通的核查意见
Regulatory Filings Classification · 95% confidence The document is a detailed verification opinion from Huafu Securities regarding the listing and circulation of restricted shares from a non-public issuance by Southwest Securities Co., Ltd. It includes specifics about the share issuance, lock-up period, shareholder commitments, shareholding changes, and compliance with relevant laws and regulations. The document is not a financial report, earnings release, or management discussion, but rather a formal verification and compliance opinion related to share circulation and lock-up release. This type of document fits best under Regulatory Filings (RNS) as it is a regulatory compliance and verification announcement that does not fall under other specific categories like capital changes or director dealings.
2023-07-18 Chinese

Browse filings by year

26 years

Report missing filing

Can't find a specific document? Let us know and we'll add it within 24 hours.

We will notify you once the filing is added.
Report sent
Thank you. We will check the data and update it shortly.