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 2023-04-28 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
西南证券股份有限公司独立董事关于第九届董事会第二十七次会议相关事项的独立意见和专项说明
Regulatory Filings Classification · 95% confidence The document is an independent opinion and special explanation from independent directors regarding various company matters discussed in the 27th meeting of the 9th board of directors. It covers topics such as the 2022 director performance assessment, 2022 profit distribution proposal, use of raised funds, expected 2023 related party transactions, internal control evaluation report, and external guarantees and fund occupation. The document is a formal opinion letter by independent directors on board meeting agenda items and related reports, not the reports themselves. It does not contain full financial statements or detailed financial data but rather assessments and confirmations of compliance and governance matters. The document length is 2039 characters, which is relatively short and consistent with an opinion letter rather than a full report. Therefore, it fits best under Regulatory Filings (RNS), which is the fallback category for regulatory announcements and compliance documents that do not fit other specific categories.
2023-04-28 Chinese
西南证券股份有限公司关于修订《公司章程》的公告
Governance Information Classification · 95% confidence The document is an announcement regarding the revision of the company's Articles of Association (公司章程). It details specific amendments to the company's governance documents and states that the revisions will be submitted to the shareholders' meeting for approval. The content focuses on governance structure and internal rules changes rather than financial results or other report types. The document length is 2426 characters, which is relatively short and primarily an announcement of changes to governance documents. This fits the category of Governance Information (CGR), which covers reports detailing the company's internal rules, board structure, and governance practices.
2023-04-28 Chinese
西南证券股份有限公司第九届董事会第二十七次会议决议公告
Board/Management Information Classification · 95% confidence The document is a detailed announcement of resolutions passed at the 27th meeting of the 9th Board of Directors of Southwest Securities Co., Ltd. It includes voting results on various reports and plans related to the 2022 fiscal year and 2023 plans, such as the 2022 Board work report, 2022 operating report, 2023 operating plan, 2022 annual report, 2023 first quarter report, profit distribution plan, and other related reports. The document also references that these reports are disclosed on the Shanghai Stock Exchange website and other media, indicating that this document itself is not the reports but the board meeting resolutions approving them. The document is about board meeting decisions and approvals, including management and board reports, but does not contain the full reports or financial statements themselves. Therefore, it fits best under Board/Management Information (MANG), which covers announcements of board decisions and management information. The document length is about 4889 characters, which is sufficient for a detailed board meeting resolution announcement. Hence, the classification is MANG with high confidence.
2023-04-28 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 by certified public accountants on the special audit of non-operating fund occupation and other related party fund transactions for the fiscal year 2022 of Southwest Securities Co., Ltd. It includes audit opinions, responsibilities of management and auditors, and detailed financial tables related to the audit subject. The document references specific regulatory guidelines and audit standards, and it contains substantive financial data and analysis related to the audit. It is not a full annual report but a standalone audit report focusing on a specific audit area. Therefore, it fits the category of Audit Report / Information (AR).
2023-04-28 Chinese
西南证券股份有限公司2022年度财务审计报告
Audit Report / Information Classification · 95% 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 opinions, audit basis, key audit matters, and responsibilities of management and auditors. The presence of an audit report with detailed financial data and notes indicates this is a standalone audit report rather than a full annual report or just an announcement. The document length is substantial (15,000 characters), and it includes substantive financial data and analysis, not just references or certifications. Therefore, the document fits the category of an Audit Report / Information (AR).
2023-04-28 Chinese
西南证券股份有限公司第九届监事会第十六次会议决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Southwest Securities Co., Ltd. It details the approval of various reports and proposals related to the company's 2022 annual work, financial statements, profit distribution plan, ESG report, compliance report, risk assessment, internal control evaluation, and fundraising usage report. The document is a formal announcement of the Supervisory Board meeting decisions rather than the reports themselves. It includes voting results and mentions that some proposals will be submitted to the shareholders' meeting for approval. The document length is short (1832 characters), and it serves as a meeting resolution announcement rather than a full report or detailed financial disclosure. Therefore, it fits best under Regulatory Filings (RNS) as a general regulatory announcement and meeting resolution notice, not as the actual annual report or other detailed filings.
2023-04-28 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.