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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 2022-04-26 Board/Management Inform…
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十八次会议相关事项的独立意见和专项说明
Board/Management Information Classification · 95% confidence The document is an independent opinion and special explanation from independent directors regarding various board meeting matters, including director performance assessment, related party transactions, impairment provisions, profit distribution proposals, internal control evaluation, and the status of raised funds. It also includes opinions on external guarantees and fund occupation. The content focuses on governance, compliance with laws and regulations, and internal control assessments rather than presenting full financial statements or detailed financial results. The document is relatively short (2216 characters) and is a formal opinion related to board meeting agenda items, not a full annual report or audit report. This fits best under Board/Management Information (MANG), which covers announcements of changes or opinions related to board or senior management activities and decisions.
2022-04-26 Chinese
西南证券股份有限公司2021年年度利润分配方案公告
Notice of Dividend Amount Classification · 95% confidence The document is a formal announcement from Southwest Securities Co., Ltd. regarding the 2021 annual profit distribution plan. It details the dividend per share, total distributable profit, and the decision-making process including board and supervisory committee approvals. The document does not contain full financial statements or comprehensive financial performance data but focuses on the dividend distribution plan and related corporate governance procedures. The length is short (1227 characters) and it is an announcement of a dividend distribution plan rather than the full annual report or earnings release. Therefore, it fits best under the category of Notice of Dividend Amount (DIV).
2022-04-26 Chinese
华福证券有限责任公司关于西南证券股份有限公司预计2022年度日常关联交易的核查意见
Regulatory Filings Classification · 90% confidence The document text is mostly unreadable or corrupted, containing mostly non-standard characters and placeholders for omitted pictures. There are no clear indications of specific report types, regulatory bodies, fiscal periods, or document titles. The length is about 9,768 characters, which is substantial, but the content does not provide any meaningful financial data, management discussion, or announcements. There is no evidence of a report itself or an announcement of a report. Given the lack of identifiable content and the fallback nature of the text, the best classification is Regulatory Filings (RNS), which serves as a catch-all for miscellaneous filings that do not fit other categories.
2022-04-26 Chinese
华福证券有限责任公司关于西南证券股份有限公司2021年度募集资金存放与使用情况的专项核查报告
Audit Report / Information Classification · 95% confidence The document is titled as a "专项核查报告" (special inspection report) regarding the 2021 annual use and storage of raised funds by Southwest Securities Co., Ltd. It is prepared by the sponsoring institution Huafu Securities. The content details the amount of funds raised in a 2020 non-public stock issuance, the management and storage of these funds, their usage during 2021, and compliance with regulatory requirements. It includes detailed tables on fund usage and balances, and the sponsoring institution's verification opinion. The document is focused on the audit and verification of the use of raised capital, not a full annual report or earnings release. It is a standalone audit-type report on fundraising and fund usage compliance, consistent with an Audit Report / Information filing. The document length (5775 characters) and detailed financial data support it being a substantive report, not just an announcement. Therefore, the appropriate classification is AR (Audit Report / Information). FY 2021
2022-04-26 Chinese
西南证券股份有限公司董事会审计委员会2021年度履职情况报告
Audit Report / Information Classification · 95% confidence The document is titled as a "2021年度履职情况报告" (2021 Annual Performance Report) of the Board Audit Committee of Southwest Securities Co., Ltd. It details the audit committee's activities, meetings, supervision of annual audit work, evaluation of external and internal audits, review of financial information and disclosures, and internal control assessments for the year 2021. The content focuses on the audit committee's duties and oversight rather than presenting standalone audit opinions or accounting principles. It is not a full annual report (10-K) but a report on the audit committee's performance and activities. This fits the definition of an Audit Report / Information (AR), which includes standalone audit reports and related committee reports. The document length is 3176 characters, which is relatively short but contains substantive content about audit committee activities, not just an announcement. Therefore, the best classification is AR with high confidence. FY 2021
2022-04-26 Chinese
西南证券股份有限公司2021年度内部控制评价报告
Audit Report / Information Classification · 95% confidence The document is titled '2021 年度内部控制评价报告' which translates to '2021 Annual Internal Control Evaluation Report'. It discusses the evaluation of the company's internal control effectiveness as of December 31, 2021, including financial and non-financial internal control defects, standards for defect recognition, and audit opinions. The document is detailed and contains substantive information about internal control evaluation, audit results, and corrective actions. It is not a brief announcement or a certification letter but a comprehensive report on internal control evaluation. This type of document fits best under the category of Audit Report / Information (AR), as it focuses on internal control audit and evaluation rather than a full annual report or other categories. FY 2021
2022-04-26 Chinese

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