Mission Statement, Vision, & Core Values (2026) of Southwest Securities Co., Ltd.

Rooted in Chongqing since 1993, Southwest Securities Co., Ltd. has grown into a cornerstone of China's financial landscape, boasting a market capitalization of CNY 31.56 billion as of December 2025 and a workforce of approximately 2,405 professionals who drive its brokerage, investment banking, asset management and securities investment businesses; the firm's momentum is evident in the first nine months of 2025 when it delivered revenue of CNY 2.52 billion - a 42.75% year‑over‑year increase - and a net profit attributable to shareholders of CNY 705.74 million (up 46.11% YoY), reflecting operational strength alongside its 2023 full‑year revenue of CNY 14.3 billion and partnerships with more than 20 global institutions, while its strategic vision couples customer‑centric innovation and digital platforms with sustainability targets such as a planned 30% reduction in operational carbon footprint by 2025 to reinforce integrity, innovation, collaboration and social responsibility across its services

Southwest Securities Co., Ltd. (600369.SS) - Intro

• Core businesses: brokerage, investment banking, asset management, securities investment, proprietary trading, and wealth management.
• Geographic footprint: strong presence in Southwest China with offices and institutional coverage nationwide.
• Human capital: ~2,405 employees, combining sales, research, trading, risk management, and compliance teams.

Mission

To enable sustainable financial growth for clients and stakeholders by delivering professional, compliant, and innovative capital market solutions that support economic development across regions we serve.

• Client-centered excellence: prioritizing client returns and risk-adjusted outcomes.
• Integrity & compliance: adherence to regulatory standards and market best practices.
• Innovation in products: developing asset management, structured products, and digital channels.

Vision

Become a leading integrated securities firm that bridges regional strengths with national capital-market leadership, enhancing shareholder value while fostering long-term client partnerships.

• Scale & profitability: target sustainable growth in revenue and net profit margins while expanding market capitalization.
• Digital transformation: leverage technology to enhance trading, research, and client service efficiency.
• Talent cultivation: build a high-performing workforce to support advisory and product capabilities.

Core Values

• Professionalism - rigorous research, disciplined execution, and advisory quality.
• Accountability - transparent governance and measurable performance.
• Client Focus - solutions designed for client goals across retail, institutional, and corporate segments.
• Innovation - continuous product and process improvements, including fintech adoption.
• Social Responsibility - supporting regional economic development and compliance with ESG principles.

Key Financial & Operational Metrics (First 9 months 2025 / Dec 2025)

Strategic Priorities Aligned with Mission, Vision & Values

• Strengthen investment banking and underwriting capabilities to capture IPO and bond issuance demand.
• Expand asset management offerings to grow fee-based revenue and diversify income streams.
• Enhance digital client platforms to improve trading volumes and client retention.
• Maintain strict risk controls to protect shareholder capital while pursuing growth.

Further financial context and investor-focused analysis are available here: Breaking Down Southwest Securities Co., Ltd. Financial Health: Key Insights for Investors

Southwest Securities Co., Ltd. (600369.SS) - Overview

• Mission Statement: Provide comprehensive financial services prioritizing customer interests and promoting sustainable financial growth.
• Core emphases: innovation, excellence in investment services, integrity, professionalism, and client satisfaction.
• Digital strategy: integration of digital platforms and mobile applications to improve customer access and experience.

• Market positioning: Leading brokerage firm in China with a diversified product set across brokerage, investment banking, asset management, and proprietary trading.
• Global reach: As of mid-2023, partnerships with over 20 global financial institutions to broaden product distribution and cross-border investment solutions.

• Vision: Build a resilient, innovation-driven financial institution that delivers superior client outcomes across domestic and international markets.
• Core values:
  • Client-first orientation - prioritize investor protection and long-term returns.
  • Integrity and compliance - rigorous governance and ethical standards.
  • Innovation - continual enhancement of digital channels and product offerings.
  • Professional excellence - attract and retain top talent to serve complex client needs.

Southwest Securities Co., Ltd. (600369.SS) - Mission Statement

• Deliver comprehensive wealth management, investment banking, asset management and brokerage services tailored to retail and institutional clients.
• Embed compliance and ethical standards across operations to ensure trust and transparency in all client interactions.
• Accelerate technology adoption to improve service efficiency, risk control and client experience.
• Commit to measurable environmental targets and community investment programs.

• Become a leading financial institution in China recognized for innovative services and a customer-centric approach.
• Achieve a 30% reduction in operational carbon footprint by 2025, aligning with global environmental sustainability efforts.
• Foster ethical banking practices and contribute to communities via corporate social responsibility programs.
• Expand market presence through a diversified product suite responsive to evolving client needs.
• Enhance technological capabilities to provide seamless, efficient financial solutions.
• Build long-term client relationships by delivering value-driven services and maintaining high professionalism.

• Investment in digital infrastructure to shorten trade execution times and lower operational costs.
• Targeted CSR programs focused on financial literacy, regional development and disaster relief.
• Performance-linked incentives to align employee behavior with long-term client outcomes and sustainability goals.

Southwest Securities Co., Ltd. (600369.SS) Vision Statement

Core Values Driving the Vision

• Integrity - Rooted in honesty, transparency, and compliance. Southwest Securities reports continuous compliance investments: compliance and risk-control expenditures accounted for approximately 4-6% of annual operating expenses in recent years, reinforcing transparent client dealings and regulatory adherence.
• Customer Commitment - Client-first orientation reflected in expanding AUM and client base: retail client accounts exceeded 5.2 million by end-2023 and institutional client relationships grew by double digits year-on-year in recent reporting periods.
• Innovation - Ongoing investment in fintech and digital channels, with R&D and IT spending rising to roughly 3-5% of operating costs; digital transactions surpassed 60% of total brokerage trading volume in recent years, accelerating service efficiency.
• Collaboration - Cross-departmental synergy between brokerage, investment banking, asset management, and proprietary trading, enabling holistic solutions and increasing fee-based income share to about 35-40% of total revenue.
• Social Responsibility - Measurable contributions include annual charitable and community investments (education, poverty alleviation, environmental programs) totaling tens of millions RMB annually and ESG-aligned product launches expanding sustainable finance offerings by over 20% year-on-year.
• People-Oriented - Employee base of roughly 8,000-10,000 professionals (including branch staff and research teams), with annual training hours per employee averaging 40+ hours and employee turnover below industry average, reinforcing career development and rights protection.

Strategic Priorities Aligned with Values

• Strengthen risk management and compliance frameworks to support integrity and long-term stability.
• Enhance client service channels (digital platforms, wealth management pilots) to deepen customer commitment and grow fee-based revenue.
• Scale fintech initiatives (AI-driven advisory, electronic trading enhancements) to deliver innovation and cost efficiencies.
• Foster internal collaboration through cross-selling KPIs and integrated product teams for one-stop financial solutions.
• Expand ESG financing and community programs to meet social responsibility targets and investor expectations.
• Invest in human capital via talent pipelines, structured career paths, and competitive benefits to uphold the people-oriented value.

Selected Financial and Operational Metrics (Illustrative recent years)

How Core Values Translate into Measurable Targets

• Integrity: sustain regulatory capital ratios above mandated thresholds and reduce compliance incidents year-on-year by targeted percentages.
• Customer Commitment: increase assets under management (AUM) and elevate net promoter score (NPS) via improved advisory services.
• Innovation: allocate a multi-year budget for digital transformation aiming for 70%+ of client interactions to be digitally enabled within three years.
• Collaboration: boost cross-sell ratio and fee income contribution to total revenue, targeting a 40%+ fee-based income share.
• Social Responsibility: grow ESG product issuance and formalize annual social investment targets in RMB.
• People-Oriented: enhance training, maintain competitive compensation, and track retention metrics for key talent segments.