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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 2022-03-09 Declaration of Voting R…
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2022年第一次临时股东大会决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is a resolution announcement from a company's extraordinary general meeting (临时股东大会决议公告). It details the meeting date, attendance, voting results on a specific proposal (changing the auditor for the 2021 annual report), and legal witness statements confirming the validity of the meeting and resolutions. The document is short (1476 characters) and primarily announces the voting results and meeting outcomes rather than providing the full annual report or audit report itself. It is not a full financial report but an official announcement of shareholder meeting resolutions and voting results. Therefore, the most appropriate classification is Declaration of Voting Results & Voting Rights Announcements (DVA).
2022-03-09 Chinese
西南证券股份有限公司关于相关涉诉事项的进展公告
Legal Proceedings Report Classification · 95% confidence The document is a public announcement by Southwest Securities Co., Ltd. regarding the progress of a litigation matter involving debt restructuring and transfer of creditor rights. It details the case background, recent developments, and the impact on the company's profits. The document is relatively short (1179 characters) and serves as an update on legal proceedings rather than a full legal report or financial statement. It does not contain financial data or detailed legal analysis but informs investors about the status of the lawsuit and related risks. Therefore, it fits best under the category of Legal Proceedings Report (LTR).
2022-03-07 Chinese
西南证券股份有限公司关于控股股东拟参与转融通证券出借业务的公告
Regulatory Filings Classification · 95% confidence The document is a public announcement by Southwest Securities Co., Ltd. regarding its controlling shareholder's intention to participate in securities lending business. It details shareholding percentages and the nature of the securities lending transaction. There is no financial report, earnings data, or management discussion. The document is an announcement about shareholding and securities lending activity, not a report or regulatory filing about financial results or governance changes. It fits best under Regulatory Filings (RNS) as a general regulatory announcement that does not fit other specific categories.
2022-03-02 Chinese
西南证券股份有限公司2022年第一次临时股东大会会议材料
AGM Information Classification · 95% confidence The document is titled as materials for the "2022 First Extraordinary General Meeting of Shareholders" and contains detailed meeting agenda, voting procedures, and a specific proposal regarding the change of the company's 2021 annual report audit and internal control audit intermediary institution. It includes procedural details for the meeting, voting times, and the proposal text for shareholder approval. The document is relatively short (2156 characters) and is clearly meeting materials rather than the actual audit report or annual report itself. This matches the definition of AGM Information (AGM-R), which includes presentations and materials shared during the Annual General Meeting or Extraordinary General Meeting. It is not an announcement of voting results (DVA), nor a full audit report (AR), nor an annual report (10-K). Therefore, the correct classification is AGM Information (AGM-R).
2022-03-01 Chinese
西南证券股份有限公司第九届董事会第十七次会议决议公告
Board/Management Information Classification · 95% confidence The document is a formal announcement from the board of directors of Southwest Securities Co., Ltd. regarding the resolution of the 17th meeting of the 9th board. The key content includes the approval to change the company's 2021 annual report audit and internal control audit intermediary institution, and the decision to convene the company's first extraordinary general meeting in 2022. The document includes voting results and references to related announcements published elsewhere. The document length is 1690 characters, which is relatively short and primarily serves as an announcement of board resolutions and upcoming shareholder meeting, not the full audit report or annual report itself. It also includes an independent director's opinion on the change of the audit firm, which is part of the board/management information. Therefore, this document fits best under the category of Board/Management Information (MANG).
2022-02-21 Chinese
西南证券股份有限公司关于变更会计师事务所的公告
Audit Report / Information Classification · 95% confidence The document is an announcement regarding the change of the company's auditor (accounting firm) for the 2021 annual audit. It details the resignation of the previous auditor due to personnel issues, the appointment of a new auditor, and the related approval process by the audit committee, independent directors, and board of directors. The document does not contain any financial statements or audit reports themselves, but rather the announcement of the change in auditor and related procedural information. The document length is 3701 characters, which is relatively short and consistent with an announcement rather than a full audit report. Therefore, this document fits best into the category of Audit Report / Information (AR), as it relates specifically to audit matters but is not a full annual report or audit report itself. However, since it is an announcement about auditor change and not the audit report itself, and given the definitions, it is best classified as Audit Report / Information (AR). FY 2021
2022-02-21 Chinese

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