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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 2021-04-29 Audit Report / Informat…
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2020年度非经营性资金占用及其他关联资金往来的专项说明
Audit Report / Information Classification · 95% confidence The document is titled as a "专项说明" (special explanation) regarding "2020年度非经营性资金占用及其他关联资金往来" which translates to "2020 Non-operating Fund Occupation and Other Related Party Fund Transactions" for Southwest Securities Co., Ltd. It includes detailed tables summarizing related party transactions and non-operating fund usage for the fiscal year 2020. The document references an audit report number and states it was prepared according to Chinese auditing standards and regulatory requirements from the China Securities Regulatory Commission and Shanghai Stock Exchange. It is a detailed explanatory report on a specific financial aspect (non-operating fund occupation and related party transactions) rather than a full annual report or audit report. It is not a general financial statement but a special disclosure related to regulatory compliance on related party transactions. This type of document is typically classified as an Audit Report / Information (AR) because it is a standalone audit-related disclosure focusing on a specific audit area and regulatory compliance, not the full annual report or interim report. The document length (15,000 characters) and detailed financial data support it being a substantive report, not just an announcement or certification. Therefore, the best fitting category is AR (Audit Report / Information).
2021-04-29 Chinese
西南证券股份有限公司2020年度审计报告
Regulatory Filings
2021-04-29 Chinese
西南证券股份有限公司独立董事关于第九届董事会第十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 director's opinion and special explanation regarding matters discussed at the company's ninth board of directors' tenth meeting. It covers topics such as director performance assessment, related party transactions, fundraising fund usage, profit distribution proposals, accounting policy changes, impairment provisions, internal control evaluation, and external guarantees. The content is detailed and specific to board meeting matters and independent director opinions rather than a full annual report or audit report. It does not contain full financial statements or comprehensive financial performance data. The document is not a brief announcement or a certification letter but a detailed board/management related opinion document. Therefore, it fits best under Board/Management Information (MANG). The document length is 2530 characters, which is relatively short but contains substantive content related to board matters, not just an announcement or certification.
2021-04-29 Chinese
西南证券股份有限公司关于会计政策变更的公告
Regulatory Filings Classification · 95% confidence The document is an announcement from Southwest Securities Co., Ltd. regarding a change in accounting policy related to the adoption of a new lease accounting standard issued by the Ministry of Finance in December 2018. It includes details about the policy change, its impact, and opinions from independent directors and the supervisory board. The document is relatively short (1635 characters) and does not contain actual financial statements or detailed financial data. It is an announcement about a change in accounting policy rather than a full audit report or annual/interim report. Therefore, it fits best under the category of Regulatory Filings (RNS), which covers miscellaneous regulatory announcements that do not fit other specific categories.
2021-04-29 Chinese
西南证券股份有限公司2021年第一季度报告
Interim / Quarterly Report Classification · 100% confidence The document is titled "2021 年第一季度报告" which translates to "2021 First Quarter Report." It contains detailed financial data including balance sheets, profit and loss statements, cash flow data, shareholder information, and notes on important matters such as litigation and accounting policy changes. The report is explicitly stated as "未经审计" (unaudited) and covers the first quarter of 2021, indicating it is a quarterly financial report. The length of the document (15,000 characters) and the presence of comprehensive financial statements confirm it is a substantive financial report rather than a brief announcement or certification. Therefore, this document fits the definition of an Interim / Quarterly Report (IR). Q1 2021
2021-04-29 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2021年度日常关联交易的核查意见
Regulatory Filings Classification · 95% confidence The document is a detailed opinion from a sponsoring securities company regarding the expected daily related-party transactions of Southwest Securities Co., Ltd. for the year 2021. It includes descriptions of transaction types, pricing principles, related parties, and the impact on the company. It also mentions the approval process involving the board and shareholders. The document is not a financial report like an annual or interim report, nor is it an earnings release or a call transcript. It is a regulatory compliance and review document related to related-party transactions, which fits best under Regulatory Filings (RNS) as it does not match other more specific categories such as Audit Report or Management Reports. The document is substantive and detailed but does not contain financial statements or earnings data. Therefore, the classification is Regulatory Filings (RNS).
2021-04-29 Chinese

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