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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 2021-12-17 Legal Proceedings Report
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相关诉讼的进展公告
Legal Proceedings Report Classification · 95% confidence The document is a public announcement from Southwest Securities Co., Ltd. regarding the progress of certain legal proceedings involving the company as a manager of asset management plans. It details the status of lawsuits, court decisions, and their potential impact on the company's profits. The text includes no financial statements or detailed financial data but focuses on legal case updates and their implications. The document length is 1925 characters, which is relatively short and consistent with an announcement rather than a full report. The content clearly relates to legal proceedings and updates on lawsuits. Therefore, the document fits best under the category of Legal Proceedings Report (LTR).
2021-12-17 Chinese
西南证券股份有限公司第九届监事会第九次会议决议公告
Board/Management Information Classification · 95% confidence The document is a formal announcement of the resolutions passed at the ninth meeting of the ninth Supervisory Board of Southwest Securities Co., Ltd. It includes details about the meeting attendance, voting results, and approval of a proposal related to the delay in the use of some raised funds. The document is an official announcement of board-level decisions and meeting outcomes, not a full report or financial statement. It does not contain financial data or detailed management discussion, nor is it a regulatory certification or a call transcript. It fits best under Board/Management Information (MANG) as it relates to supervisory board meeting resolutions and governance matters.
2021-12-14 Chinese
西南证券股份有限公司关于召开2021年第二次临时股东大会的通知
Regulatory Filings Classification · 90% confidence The document is a notice about convening the 2021 second extraordinary general meeting of shareholders for Southwest Securities Co., Ltd. It details the meeting date, voting methods, agenda items, and procedural instructions for shareholders. It does not contain financial statements or detailed financial data but rather serves as an announcement for the meeting and its agenda. The document length is 3159 characters, which is relatively short and consistent with a meeting notice rather than a full report. Therefore, this document fits the category of Declaration of Voting Results & Voting Rights Announcements (DVA) or possibly Proxy Solicitation & Information Statement (PSI). However, since it is a notice of the meeting and voting procedures rather than solicitation materials or voting results, it is best classified as a Regulatory Filing (RNS) as a fallback for miscellaneous regulatory announcements that do not fit other categories exactly. Confidence is high due to clear meeting notice content and absence of financial data or voting results.
2021-12-14 Chinese
西南证券股份有限公司关于修订《公司章程》的公告
Governance Information Classification · 95% confidence The document is an announcement regarding the revision of the company's Articles of Association (公司章程). It includes details about the board meeting approving the proposal to amend the Articles and mentions that the amendments will be submitted to the shareholders' meeting for approval. This type of document is related to governance and internal company rules rather than financial results, audit, or other report types. It is not a full report but an announcement of governance changes. Therefore, the appropriate classification is Governance Information (CGR). The document length is short and contains specific governance content, confirming the classification.
2021-12-14 Chinese
华福证券有限责任公司关于西南证券股份有限公司部分募集资金投资项目延期的核查意见
Capital/Financing Update Classification · 95% confidence The document is a detailed verification opinion from Hua Fu Securities regarding the delay in the use of certain raised funds by Southwest Securities Co., Ltd. It discusses the non-public issuance of shares, the amount of funds raised, their storage, usage, and the delay in some investment projects funded by these raised funds. It includes regulatory references, approval dates, and the company's board and supervisory meetings approving the delay. The document is not a full financial report but a regulatory compliance and verification report related to fundraising and fund usage delays. It does not contain financial statements or earnings data, nor is it a simple announcement of a report. This fits the category of a Capital/Financing Update (CAP), as it updates on the status and usage of raised capital and related compliance.
2021-12-14 Chinese
西南证券股份有限公司关于部分募投项目资金使用延期的公告
Capital/Financing Update Classification · 95% confidence The document is an announcement from Southwest Securities Co., Ltd. regarding the extension of the usage period for certain raised funds from a non-public stock issuance. It details the original fundraising, the amount raised, the usage of funds, and the decision to extend the deadline for using funds for an information technology construction project due to delays caused by the COVID-19 pandemic. The document includes board and supervisory committee approvals and independent director opinions. It is a regulatory announcement about the use and extension of fundraising project funds, not a financial report or earnings release. The document length is 3239 characters, which is relatively short and consistent with an announcement rather than a full report. Therefore, it fits best under Capital/Financing Update (CAP) as it relates to fundraising and capital usage updates.
2021-12-14 Chinese

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