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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 2022-05-09 AGM 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2021年年度股东大会会议材料
AGM Information Classification · 100% confidence The document is titled "2021 年年度股东大会 会议材料" which translates to "2021 Annual General Meeting (AGM) Meeting Materials." It contains detailed agenda items for the 2021 AGM, including reports from the board of directors, supervisory board, independent directors, annual report proposals, financial statements, profit distribution plans, and other related proposals. The content includes detailed explanations of the board's work, supervisory board reports, and management discussions, all typical of materials prepared for an AGM to be presented to shareholders for review and voting. The document is lengthy (15,000 characters) and contains substantive content rather than just an announcement or a brief summary. It is not a transcript of a call, nor a standalone audit report, nor a regulatory filing or announcement. It is clearly the meeting materials provided for the Annual General Meeting, which fits the category AGM Information (AGM-R).
2022-05-09 Chinese
西南证券股份有限公司关于公司涉及诉讼的进展公告
Legal Proceedings Report Classification · 95% confidence The document is an announcement from Southwest Securities Co., Ltd. regarding the progress of a litigation case involving the company as plaintiff. It details the litigation stage, involved parties, amounts, and potential impact on profits. The document does not contain financial statements or detailed financial analysis but focuses on legal proceedings and their implications. It is not a full audit report or annual report but a specific update on legal matters. Therefore, it fits the category of Legal Proceedings Report (LTR). The document length is 1600 characters, which is short and focused on litigation updates, confirming it is not a full financial report or earnings release.
2022-05-09 Chinese
西南证券股份有限公司关于召开2021年年度业绩说明会的公告
Investor Presentation Classification · 95% confidence The document is an announcement from Southwest Securities Co., Ltd. about the scheduling of a 2021 annual performance explanation meeting (业绩说明会). It provides details about the meeting time, location, format (video and online interaction), and how investors can participate and ask questions. It references the 2021 annual report already published on April 27, 2022, but this document itself is not the report or a transcript of the meeting. It is a notice announcing the upcoming investor presentation event focused on discussing the annual results. The document length is short (1435 characters), and it serves as an announcement rather than the actual report or transcript. Therefore, it fits best under Investor Presentation (IP) as it is a detailed presentation event for investors focusing on financials and company performance.
2022-05-08 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A股股票之保荐总结报告书
Capital/Financing Update Classification · 95% confidence The document is titled as a "保荐总结报告书" (Sponsorship Summary Report) related to a non-public issuance of A shares by Southwest Securities Co., Ltd. It is issued by Huafu Securities as the sponsoring institution. The content includes details about the issuance approval, the amount raised, the registration and listing of the new shares, and the continuous supervision period ending on December 31, 2021. It also contains commitments by the sponsor, descriptions of the supervision work, evaluations of the company's compliance and information disclosure, and opinions on the use of raised funds. The document is a summary report issued by the sponsor after the completion of the continuous supervision period for the non-public share issuance. It is not an announcement of the issuance, nor a financial report like an annual or interim report, nor a regulatory filing or certification. It is a detailed report on the sponsorship and supervision activities related to the capital raising event. Given the content and nature, this fits best under the category of Capital/Financing Update (CAP), as it relates to the non-public issuance of shares and the sponsor's summary report on the capital raising and supervision.
2022-05-05 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 an asset management plan. It details the stages of the lawsuit, court decisions, and the impact on the company's profits. The content focuses on legal proceedings and updates about the lawsuit rather than financial results, management changes, or other report types. The document length is short (1362 characters) and it is clearly an announcement about litigation progress. Therefore, it fits the category of Legal Proceedings Report (LTR).
2022-04-27 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
Audit Report / Information 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 amount of funds raised, their storage in special accounts, and their actual usage during the fiscal year 2021. The report is prepared by the company's board and verified by an independent accounting firm (天健会计师事务所), with a clear audit opinion on the compliance and accuracy of the report. The document references regulatory guidelines from the Shanghai Stock Exchange and includes detailed tables of fund usage and balances. This is a specialized audit/verification report focusing on the use of capital raised by the company, not a full annual report or earnings release. It is a standalone audit/verification report related to capital usage, which fits the definition of an Audit Report / Information (AR). The document length is substantial (15,000 characters), and it contains substantive financial data and audit conclusions, so it is not merely an announcement or certification. Therefore, the correct classification is AR with high confidence.
2022-04-26 Chinese

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