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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 2020-12-23 AGM Information
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
关于召开2021年第一次临时股东大会的通知
AGM Information Classification · 95% confidence The document is a notice about convening the 2021 first extraordinary general meeting of shareholders for Southwest Securities Co., Ltd. It details the meeting date, voting methods, agenda items, and procedural instructions for shareholders. The document does not contain financial statements or detailed financial data but serves as an announcement for the meeting and voting process. It also includes an authorization proxy form for voting. The document length is 2887 characters, which is relatively short and consistent with a meeting notice rather than a full report. Therefore, this document fits the category of AGM Information (AGM-R), which covers presentations and materials shared during the Annual General Meeting or similar shareholder meetings.
2020-12-23 Chinese
关于变更会计师事务所的公告
Audit Report / Information Classification · 95% confidence The document is an announcement from a company about changing its auditor firm. It details the new auditor's qualifications, the reason for the change (due to regulatory limits on continuous auditor engagement), and the approval process by the board and independent directors. It does not contain financial statements or audit reports themselves but rather the announcement of the auditor change and related procedural information. The document length is under 5,000 characters and is primarily an announcement, not the audit report itself. Therefore, it fits best under the category of Audit Report / Information (AR), which includes standalone audit-related announcements and information about auditor changes, but not the full annual report or audit report itself. FY 2020
2020-12-22 Chinese
第九届董事会第八次会议决议公告
Board/Management Information Classification · 95% confidence The document is a resolution announcement from the board of directors of Southwest Securities Co., Ltd. It details decisions made at the 8th meeting of the 9th board, including capital increase authorization, donation approval, audit report approval, appointment of audit firms, and scheduling a shareholders meeting. The document is not the audit report itself but an announcement of board resolutions and approvals. It includes voting results and procedural details but does not contain financial statements or detailed financial data. The document is short (1556 characters) and serves as a formal announcement of board decisions rather than a full report or financial filing. Therefore, it fits best under Board/Management Information (MANG).
2020-12-22 Chinese
关于公司（代资产管理计划）涉及诉讼的进展公告
Legal Proceedings Report Classification · 95% confidence The document is an announcement from Southwest Securities Co., Ltd. regarding the progress of a litigation case involving an asset management plan. It details the litigation stage, parties involved, amounts, and recent court rulings. There is no financial data, no report attached or referenced as published, and the content focuses on legal proceedings and updates. This fits the definition of a Legal Proceedings Report (LTR). The document length is short and it is not a report publication announcement or certification. Therefore, the appropriate classification is LTR with high confidence.
2020-12-22 Chinese
2017年非公开发行次级债券（第一期）2020年本息兑付及摘牌公告
Delisting Announcement Classification · 95% confidence The document is an announcement regarding the payment of principal and interest and the delisting (摘牌) of a specific bond issued by Southwest Securities Co., Ltd. It details the bond's basic information, payment schedule, tax information, and related procedures. The document is not a financial report, audit, or management discussion but a formal notice about the bond's maturity payment and removal from listing. The key terms such as '兑付' (payment), '摘牌公告' (delisting announcement), and the focus on bond redemption and delisting date indicate this is a Delisting Announcement related to a bond. The document length is 3270 characters, which is consistent with an announcement rather than a full report. Therefore, the appropriate classification is DLST (Delisting Announcement).
2020-12-09 Chinese
关于参加重庆辖区上市公司2020年投资者网上集体接待日活动的公告
Regulatory Filings Classification · 95% confidence The document is a short announcement from Southwest Securities about their participation in an online investor collective reception day event organized by the Chongqing regulatory authorities and stock exchange related entities. It invites investors to join an online Q&A session on a specific date and time. There is no financial data, no report attached or referenced, no voting results, no management changes, no earnings or audit information. The document is essentially a regulatory announcement informing the public about an upcoming investor relations event. Given the short length (495 characters) and the nature of the content, it fits best under Regulatory Filings (RNS) as a general regulatory announcement that does not fit other categories.
2020-11-18 Chinese

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