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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 2023-03-16 Governance Information
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 organizational structure, shareholder rights, board of directors, management, and governance practices. It references multiple shareholder meetings and amendments to the articles over several years, indicating it is a governance document. There are no financial statements, earnings data, or audit opinions present. The content is focused on internal rules, board and shareholder meeting procedures, and company governance. Therefore, this document fits the category of Governance Information (CGR). The document length is substantial and contains the full text of the governance rules, not just an announcement or summary, so it is not a report publication announcement or regulatory filing. Hence, the classification is CGR with high confidence.
2023-03-16 Chinese
西南证券股份有限公司董事会议事规则
Governance Information Classification · 95% confidence The document is titled "西南证券股份有限公司董事会议事规则" which translates to "Rules of Procedure for the Board of Directors of Southwest Securities Co., Ltd.". The content details the governance rules, procedures for convening board meetings, proposal submissions, voting, meeting records, confidentiality, and execution of board resolutions. It references company law, securities law, and governance standards, focusing on internal board governance practices rather than financial results, audit, or shareholder meeting materials. There is no indication of financial data, audit results, or shareholder voting outcomes. The document is a governance framework outlining the internal rules and procedures for the board of directors. Therefore, it fits the category of Governance Information (CGR). The document length (5528 characters) and detailed procedural content support this classification with high confidence.
2023-03-16 Chinese
西南证券股份有限公司关于公司（代资产管理计划）涉及诉讼的进展公告
Legal Proceedings Report Classification · 95% confidence The document is a public announcement from Southwest Securities Co., Ltd. regarding the progress of a litigation case involving the company as plaintiff. It details the litigation stages, court decisions, execution status, and impact on company profits. The content focuses on legal proceedings and updates about a specific lawsuit rather than financial results, management changes, or other report types. The document length is short (1240 characters) and it is clearly an announcement about ongoing legal matters. Therefore, it fits best under the category of Legal Proceedings Report (LTR).
2023-02-21 Chinese
西南证券股份有限公司关于公司（代资产管理计划）涉及诉讼的进展公告
Legal Proceedings Report Classification · 95% confidence The document is a public announcement from Southwest Securities Co., Ltd. regarding the progress of a litigation case involving the company as a plaintiff. It details the litigation stage, involved parties, case amounts, court decisions, and the impact on the company's profits. The document does not contain financial statements or detailed financial performance data but is an update on legal proceedings. Therefore, it fits the category of Legal Proceedings Report (LTR). The document length is short and focused on litigation updates, not a full report or financial disclosure.
2023-02-03 Chinese
西南证券股份有限公司2022年年度业绩预告
Earnings Release Classification · 95% confidence The document is a 2022 annual performance forecast (业绩预告) from Southwest Securities Co., Ltd. It provides preliminary estimated net profit figures for the full year 2022, comparing them to the prior year, and highlights a significant profit decline. The document explicitly states that the forecast data is unaudited and that the final audited annual report will be published later. The document length is short (976 characters) and it serves as an announcement of expected financial results rather than a full financial report. This fits the definition of an Earnings Release (ER), which is an initial announcement of quarterly or periodical financial results with key highlights only. It is not a full Annual Report (10-K) or Interim Report (IR) because it lacks detailed financial statements and analysis. Therefore, the correct classification is Earnings Release (ER). FY 2022
2023-01-30 Chinese
华福证券有限责任公司关于西南证券股份有限公司2022年持续督导现场检查报告
Audit Report / Information Classification · 95% confidence The document is titled as a '2022 Year Continuous Supervision On-Site Inspection Report' by the sponsor institution Huafu Securities for Southwest Securities Co., Ltd. It references regulatory approvals, the scope of the on-site inspection, and detailed findings on governance, internal controls, information disclosure, use of raised funds, related party transactions, and operational status for the year 2022. The document is a detailed report of the sponsor's continuous supervision activities, including compliance and operational checks, rather than a full annual report or audit report. It is not a brief announcement or a certification letter but a substantive supervisory report. This type of document aligns with the category of Audit Report / Information (AR), as it is a standalone report on regulatory compliance and internal controls related to the company's fundraising and governance, excluding full annual financial statements. The document length is under 5,000 characters but contains detailed substantive content, so it is not a mere announcement. Therefore, the best classification is AR with high confidence. FY 2022
2023-01-18 Chinese

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