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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 2023-04-28 Audit Report / Informat…
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董事会审计委员会2022年度履职情况报告
Audit Report / Information Classification · 95% confidence The document is a detailed report from the Board Audit Committee of Southwest Securities Co., Ltd. for the year 2022. It includes information about the committee members, meetings held, audit supervision activities, evaluation of external and internal audits, review of financial information and internal controls, and overall evaluation of the committee's performance. The content focuses on the audit committee's duties and activities related to auditing and internal control oversight for the fiscal year 2022. It is not an announcement or a brief summary but a substantive report on audit committee activities and findings. This matches the definition of an Audit Report / Information (AR), which includes standalone audit reports and related audit committee reports. The document length (3537 characters) is sufficient to contain detailed information, and it is not merely an announcement or certification. Therefore, the appropriate classification is AR with high confidence. FY 2022
2023-04-28 Chinese
西南证券股份有限公司2022年年度利润分配方案公告
Notice of Dividend Amount Classification · 100% confidence The document is a formal announcement from Southwest Securities Co., Ltd. regarding the 2022 annual profit distribution plan. It details the dividend per share, total distributable profit, board and supervisory approvals, and the need for shareholder meeting approval. The document is short (1215 characters) and focuses on dividend distribution specifics rather than presenting full financial statements or comprehensive annual report content. It is not a full Annual Report (10-K) or Interim Report (IR), nor is it a simple notification of report publication. The content matches the definition of a Notice of Dividend Amount (DIV), as it announces dividend amounts, payment details, and related shareholder information.
2023-04-28 Chinese
西南证券股份有限公司内部控制审计报告
Audit Report / Information Classification · 95% confidence The document is titled '内部控制审计报告' which translates to 'Internal Control Audit Report'. It references auditing standards and the responsibility of the board and auditors regarding internal control over financial reporting as of December 31, 2022. The document contains an auditor's opinion on the effectiveness of internal control over financial reporting. It is a standalone audit report focused on internal control, not a full annual report or other type of filing. The length is short (825 characters), but the content is substantive and includes an audit opinion, so it is not merely an announcement or certification. Therefore, the document fits the category of Audit Report / Information (AR). FY 2022
2023-04-28 Chinese
西南证券股份有限公司2022年年度报告
Annual Report Classification · 100% confidence The document is titled "西南证券股份有限公司 2022 年年度报告" which translates to "Southwest Securities Co., Ltd. 2022 Annual Report." It contains detailed sections including company overview, financial data, management discussion and analysis, corporate governance, environmental and social responsibility, shareholding changes, bond information, and the full financial report. It also includes an auditor's report with an unqualified opinion, signatures from company officers, and detailed financial statements. The document length is substantial (15,000 characters), indicating it is the full report rather than a brief announcement. The presence of comprehensive financial data and management analysis confirms it is the official yearly report covering company activity and full financial performance, consistent with the definition of an Annual Report (10-K).
2023-04-28 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
Capital/Financing Update Classification · 95% confidence The document is titled as a "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 detailed financial data about the raised funds, their management, usage, and compliance with regulatory guidelines. The document is prepared by certified public accountants and includes an independent verification opinion. It references regulatory guidelines related to the management and use of raised funds by listed companies. The content is focused on the annual usage and storage of capital raised by the company, which aligns with a Capital/Financing Update rather than a full Annual Report or Audit Report. The document is substantive and detailed, not merely an announcement or certification letter, and it specifically addresses the use of capital raised through financing activities. Therefore, the most appropriate classification is Capital/Financing Update (CAP).
2023-04-28 Chinese
西南证券股份有限公司2023年第一次临时股东大会决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 100% confidence The document is titled as a resolution announcement from the company's first extraordinary general meeting (临时股东大会决议公告) held on April 26, 2023. It details the meeting attendance, voting results on specific proposals, and legal witness statements confirming the validity of the meeting and resolutions. The content focuses on the announcement of voting results from a shareholder meeting rather than the meeting materials or the full report. The document length is short (1378 characters), consistent with a voting results announcement. Therefore, this document fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA).
2023-04-26 Chinese

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