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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 2022-11-28 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 2022 financial report and internal control audit. It details the qualifications, independence, and audit fees of the accounting firm, 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 of the intention to reappoint the auditor, pending shareholder approval. The document length is about 3050 characters, which is relatively short and consistent with an announcement rather than a full audit report. Therefore, this fits best under Audit Report / Information (AR) as it relates to audit matters but is not a full annual report or financial statement. However, since it is an announcement of auditor appointment rather than the audit report itself, it is more appropriate to classify it as Regulatory Filings (RNS) because it does not contain the audit report or financial data but is a regulatory announcement about auditor reappointment.
2022-11-28 Chinese
西南证券股份有限公司第九届董事会第二十四次会议决议公告
Board/Management Information Classification · 95% confidence The document is a formal announcement of resolutions passed at a board meeting of Southwest Securities Co., Ltd. It includes details about the appointment of an audit firm for the 2022 financial report and internal control audit, approval of share transfer, donation, and scheduling of a shareholders meeting. The document is not the audit report itself but an announcement of board decisions and approvals. It also includes independent directors' opinions on the audit firm appointment. The document length is short (1707 characters), and it primarily reports board meeting resolutions, not full financial data or audit results. Therefore, it fits best under Board/Management Information (MANG) as it announces board decisions and management actions.
2022-11-28 Chinese
西南证券股份有限公司关于召开2022年第三季度业绩说明会的公告
Regulatory Filings Classification · 95% confidence The document is an announcement about the scheduling and details of a 2022 third quarter earnings explanation meeting (业绩说明会) to be held on November 30, 2022. It references the previously released 2022 third quarter report but does not contain any financial data or results itself. The document is short (1392 characters) and serves to inform investors about the upcoming conference call/webcast for discussing the quarterly results. This fits the definition of a Call Transcript announcement or an Investor Presentation announcement. However, since it is only announcing the meeting and not providing the transcript or presentation itself, it is best classified as a Regulatory Filing (RNS) as a general regulatory announcement. It is not a full Call Transcript (CT) or Interim Report (IR) because it contains no substantive financial data or transcript text. The document is not a Report Publication Announcement (RPA) because it does not state that a report is attached or published, only that the meeting will be held to discuss the report already released on October 29, 2022.
2022-11-08 Chinese
西南证券股份有限公司关于向专业投资者公开发行次级公司债券获得中国证券监督管理委员会注册批复的公告
Capital/Financing Update Classification · 95% confidence The document is a public announcement from Southwest Securities Co., Ltd. regarding the approval from the China Securities Regulatory Commission for the company to publicly issue subordinated corporate bonds to professional investors. It details the registration approval, issuance limits, and compliance requirements. The content focuses on a capital raising activity through bond issuance, which aligns with updates on financing activities or capital structure changes. The document is short (577 characters) and is not a full financial report or detailed presentation but an official announcement of a financing approval. Therefore, it fits best under the category 'Capital/Financing Update' (CAP).
2022-11-08 Chinese
西南证券股份有限公司第九届监事会第十三次会议决议公告
Regulatory Filings Classification · 95% confidence The document is a resolution announcement from the supervisory board (监事会) of Southwest Securities regarding the approval of the company's 2022 third quarter report. It mentions the meeting date, attendance, and voting results on the 2022 Q3 report. The document is short (465 characters) and does not contain the actual financial statements or detailed financial data of the quarterly report itself, but rather the approval of that report. Therefore, it is not the Interim/Quarterly Report (IR) itself but an announcement related to the meeting and voting on that report. This fits best under Regulatory Filings (RNS) as it is a formal announcement of a board meeting resolution without substantive financial data.
2022-10-28 Chinese
西南证券股份有限公司2022年第三季度报告
Interim / Quarterly Report Classification · 100% confidence The document is titled '2022 年第三季度报告' which translates to '2022 Third Quarter Report'. It contains detailed financial data including balance sheets, profit and loss statements, cash flow statements, and notes on financial performance for the third quarter of 2022. The document includes unaudited financial statements and comprehensive financial metrics for the quarter and year-to-date periods. It also discusses shareholder information, management changes, litigation updates, and other operational details. The length of the document (15,000 characters) and the presence of substantive financial data and analysis confirm it is a full quarterly financial report rather than a brief announcement or certification. Therefore, this document fits the definition of an Interim / Quarterly Report (IR). 9M 2022
2022-10-28 Chinese

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