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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 2021-08-24 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第九届董事会第十二次会议决议公告
Board/Management Information Classification · 95% confidence The document is a detailed announcement of resolutions passed at the 12th meeting of the 9th Board of Directors of Southwest Securities Co., Ltd. It includes voting results on various proposals such as approval of the 2021 half-year report, appointment of auditors for the 2021 annual report, and other governance matters. The document references the 2021 half-year report and other reports but does not contain the actual financial statements or substantive financial data itself. It is a formal board meeting resolution announcement, not the report itself. Therefore, it fits best under Board/Management Information (MANG), which covers announcements of board decisions and management matters.
2021-08-24 Chinese
西南证券股份有限公司2021年半年度报告
Interim / Quarterly Report Classification · 100% confidence The document is a detailed financial report covering a half-year period (1-6 months) for the year 2021, including extensive financial data such as balance sheets, income statements, cash flow, and management discussion and analysis. It contains sections on company information, financial indicators, risk disclosures, and governance, all typical of an interim or quarterly report. The document is about 15,000 characters long, which is substantial and contains actual financial statements and analysis, not just an announcement or certification. The presence of phrases like '半年度报告' (half-year report) and detailed financial tables confirms it is an Interim / Quarterly Report. Therefore, the correct classification is IR (Interim / Quarterly Report).
2021-08-24 Chinese
西南证券股份有限公司2021年半年度募集资金存放与实际使用情况专项报告
Capital/Financing Update Classification · 95% confidence The document is titled as a "2021 年半年度募集资金存放与实际使用情况专项报告" which translates to "2021 Half-Year Special Report on the Deposit and Actual Use of Raised Funds." It details the amount of funds raised through a non-public stock issuance, the management and storage of these funds, their actual usage during the half-year period ending June 30, 2021, and compliance with regulatory requirements. The document includes detailed financial figures and a table showing the use of the raised funds. This is a specialized report focused on the use of capital raised by the company, which aligns with the category of Capital/Financing Update (CAP). The document is not a full annual or interim financial report, nor is it an announcement or certification. It contains substantive financial data about capital raised and its usage, fitting the CAP category.
2021-08-24 Chinese
西南证券股份有限公司2021年半年度报告摘要
Interim / Quarterly Report Classification · 95% confidence The document is titled '2021 年半年度报告摘要' which translates to '2021 Half-Year Report Summary'. It contains detailed financial data such as total assets, net assets, revenue, net profit, earnings per share, and shareholder information for the half-year period. It explicitly states it is a half-year report summary and includes substantive financial data and analysis for the period. The document length is 3780 characters, which is relatively short but contains actual financial data, not just an announcement or a link to a full report. Therefore, it is a comprehensive interim/quarterly report rather than a mere announcement or summary without data. The document is not an earnings release (which would be shorter and only key highlights), nor is it an annual report or audit report. It fits the definition of an Interim / Quarterly Report (IR). H1 2021
2021-08-24 Chinese
西南证券股份有限公司第九届监事会第七次会议决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is a resolution announcement from the Supervisory Board of Southwest Securities regarding the approval of the company's 2021 half-year report, a special report on the use of raised funds, and a risk assessment report. It is a formal announcement of meeting decisions and voting results rather than the actual half-year report or financial statements. The document length is short (597 characters), and it primarily reports on the approval of reports rather than containing substantive financial data or the reports themselves. Therefore, it fits best as a Declaration of Voting Results & Voting Rights Announcements (DVA).
2021-08-24 Chinese
西南证券股份有限公司关于续聘会计师事务所的公告
Audit Report / Information Classification · 95% confidence The document is an announcement by Southwest Securities Co., Ltd. regarding the reappointment of an accounting firm (Xinyong Zhonghe CPA Firm) for auditing services for the 2021 annual 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 about the appointment of the auditor for the upcoming annual report audit. The document length is 2488 characters, which is relatively short and consistent with an announcement rather than a full audit report or annual report. Therefore, this fits best under Audit Report / Information (AR) as it relates to audit matters but is not the full annual report itself. FY 2021
2021-08-24 Chinese

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