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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 2025-09-26 Governance 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
西南证券股份有限公司董事薪酬及考核管理规定
Governance Information Classification · 95% confidence The document is titled '董事薪酬及考核管理规定' which translates to 'Board Directors' Remuneration and Assessment Management Regulations'. It details the rules and procedures regarding the remuneration, assessment, and governance of the company's board members. It references governance codes and company bylaws, and discusses salary structure, assessment criteria, and disciplinary measures for directors. There is no financial data, no report of financial results, no announcement of voting results, no legal proceedings, no capital changes, and no mention of any meeting materials or presentations. The content is focused on governance practices related to board remuneration and assessment. This fits the definition of Governance Information (CGR), which covers internal rules, board structure, and governance practices. The document length is short (1430 characters), but it is a substantive governance regulation document, not a mere announcement or certification. Therefore, the appropriate classification is CGR with high confidence.
2025-09-26 Chinese
西南证券股份有限公司董事会议事规则
Governance Information Classification · 100% confidence The document is titled "西南证券股份有限公司董事会议事规则" which translates to "Rules of Procedure for the Board of Directors of Southwest Securities Co., Ltd." The content details the governance structure, procedures for convening board meetings, proposal submissions, voting, meeting records, confidentiality, and execution of board resolutions. It references relevant laws and regulations governing board operations. There is no financial data, earnings information, or shareholder voting results. The document is a detailed governance framework for the board of directors, fitting the description of Governance Information (CGR). The document length is 5693 characters, which is sufficient for a full governance report rather than a brief announcement or notice. Therefore, the appropriate classification is Governance Information (CGR).
2025-09-26 Chinese
西南证券股份有限公司2025年第一次临时股东会决议公告
Declaration of Voting Results & Voting Rights Announcements Classification · 95% confidence The document is an announcement of the resolutions passed at the 2025 first extraordinary general meeting (临时股东会) of Southwest Securities Co., Ltd. It includes details about the meeting date, attendance, voting results on various proposals, and legal opinions confirming the validity of the meeting and resolutions. The content focuses on the official disclosure of shareholder meeting decisions rather than the meeting materials or presentations themselves. This matches the definition of Declaration of Voting Results & Voting Rights Announcements (DVA). The document length is short (1829 characters) and it is a formal announcement of voting results, not a full report or presentation. Therefore, the correct classification is DVA with high confidence.
2025-09-26 Chinese
西南证券股份有限公司内幕信息知情人登记管理规定
Regulatory Filings Classification · 95% confidence The document is a detailed internal regulation of Southwest Securities Co., Ltd. regarding the registration and management of insiders who have access to material non-public information (insider information). It includes definitions, scope, procedures for registration, confidentiality obligations, and responsibilities related to insider information. It also contains templates for insider information registries and major event progress memorandums. There is no financial data, earnings, or report publication. It is a regulatory compliance document related to insider information management and disclosure obligations, not a financial report or announcement of voting results or capital changes. It fits best under Regulatory Filings (RNS) as a compliance and regulatory document that does not fit other categories.
2025-09-26 Chinese
西南证券股份有限公司董事会审计委员会工作细则
Governance Information Classification · 95% confidence The document is titled '董事会审计委员会工作细则' which translates to 'Board Audit Committee Working Rules'. It details the structure, responsibilities, meeting rules, and operational procedures of the audit committee within the board of directors of the company. There is no financial data, no report of financial results, no announcement of voting results, no legal proceedings, no capital changes, and no mention of any specific report or filing. The document is a governance-related internal regulation outlining the audit committee's role and procedures, which fits the category of Governance Information (CGR). The document length is 2224 characters, which is relatively short but contains substantive governance content rather than a mere announcement or certification. Therefore, the appropriate classification is Governance Information (CGR).
2025-09-26 Chinese
西南证券股份有限公司董事会风险控制委员会工作细则
Governance Information Classification · 95% confidence The document is titled as the 'Work Rules of the Board Risk Control Committee' of Southwest Securities Co., Ltd. It details the structure, responsibilities, meeting rules, and operational procedures of a board committee focused on risk control. There is no financial data, no mention of financial results, no shareholder voting results, no legal proceedings, no capital changes, no executive changes, and no regulatory filings or announcements. The content is about governance practices related to risk management within the board structure. This fits the definition of Governance Information (CGR), which covers reports detailing the company's internal rules, board structure, and governance practices. The document length is 2100 characters, which is short but contains substantive governance content, not just an announcement. Therefore, the appropriate classification is CGR with high confidence.
2025-09-26 Chinese

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