炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 根据浙江证监局披露的罚单，财通证券在境外子公司管理领域存在三大突出问题。其一，未有效建立覆盖境外子公司的决策事项落实跟踪制度及决策效果评 估制度。其二，未健全对境外子公司的风险管控机制。其三，提名的境外子公司部分董事不符合相应任职条件。 钱斌作为财通证券总经理助理、财通证券（香港）有限公司时任董事长，对上述情形负有管理责任。这些情形违反了《证券公司和证券投资基金管理公司合 规管理办法》《证券公司和证券投资基金管理公司境外设立、收购、参股经营机构管理办法》等相关规定。 9月26日，浙江证监局开出两张罚单。因财通证券在境外子公司管理方面存在多项合规漏洞，财通证券及公司总经理助理、财通证券（香港）时任董事长钱 斌分别被采取出具警示函的行政监管措施，相关情况也被记入证券期货市场诚信档案。 浙江证监局要求财通证券深刻吸取教训，采取有效措施进行整改，并对相关责任人员进行追责问责。同时，公司需强化合规意识，切实提升合规管理水平。 值得注意的是，财通证券（香港）2025年上半年收入同比激增近9倍，增速位列同业前列。在国际化布局初显成效的同时，监管对风控 ...

日前，地方证监局披露了多则行政监管措施公告，内容指向了三家券商：中信证券、中信建投证券、财 通证券。 具体来看，中信证券（山东）有限责任公司济南分公司开展基金销售活动存在违规问题；中信建投证券 在企业督导过程中存在问题；财通证券则是境外子公司管理方面存在多项合规问题。 中信证券济南分公司基金销售违规 日前，山东证监局披露了两则行政监管措施公告，指向中信证券（山东）有限责任公司济南分公司（以 下简称"中信证券济南分公司"）及其时任员工魏某凡。 中信建投企业督导存在问题 山东证监局指出，中信证券济南分公司存在不具备基金从业资格的营销人员开展基金销售活动的情形， 个别员工向客户宣传推介基金产品时未使用公司统一制作的基金宣传推介材料。上述问题，反映出该分 公司未能严格规范员工执业行为、合规管理不到位。 为此，山东证监局局决定对该分公司采取出具警示函的行政监管措施。涉事员工魏某凡同样被山东证监 局采取出具警示函的行政监管措施。 阳光中科一期182车间、二期166车间分别于2023年11月、2023年9月起停工停产；三期182车间于2024年 1月至4月停工停产。上述车间产品销售为阳光中科主要收入来源，停工停产事项对阳光 ...

登录新浪财经APP 搜索【信披】查看更多考评等级 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 近日，各地证监局披露多则罚单，涉及中信证券等3家券商。 其中，中信建投证券作为主办券商，在持续督导方面存在违规行为，被福建证监局出具警示函。中信证 券（山东）有限责任公司济南分公司因经纪业务违规被罚。财通证券因境外子公司存在多项合规问题， 被浙江证监局出具警示函，财通证券总经理助理、财通证券（香港）有限公司时任董事长钱斌也领罚。 中信建投证券：持续督导阳光中科未勤勉尽责 9月23日，福建证监局披露一则罚单。 中信建投证券作为阳光中科（福建）能源股份有限公司（以下简称"阳光中科"）的主办券商，在持续督 导方面存在违规行为。阳光中科一期182车间、二期166车间分别于2023年11月、2023年9月起停工停 产；三期182车间于2024年1月至4月停工停产。上述车间产品销售为阳光中科主要收入来源，停工停产 事项对阳光中科持续经营能力造成重大不利影响，但阳光中科未及时披露上述停工停产情况。截至2025 年3月，上述车间仍处于停工停产状态。中信建投证券于2024年1月知悉阳光中科上述停工停产情况 ...

近日，各地证监局披露多则罚单，涉及中信证券等3家券商。 其中，中信证券（山东）有限责任公司济 南分公司因经纪业务违规被罚。财通证券因境外子公司存在多项合规问题，被浙江证监局出具警示函， 财通证券总经理助理、财通证券（香港）有限公司时任董事长钱斌也领罚。中信建投证券也被福建证监 局出具警示函。（券商中国） ...

Group 1 - Multiple penalties have been issued by local securities regulatory authorities against three brokerage firms, including CITIC Securities [1] - CITIC Securities (Shandong) Jinan Branch was penalized for allowing unqualified employees to conduct fund sales and failing to use standardized promotional materials [2] - Financial Compliance issues were identified at Caitong Securities, particularly concerning its overseas subsidiaries, leading to a warning from the Zhejiang Securities Regulatory Bureau [3] Group 2 - CITIC JianTou Securities faced penalties for failing to diligently supervise Sunshine Zhongke, which resulted in significant operational disruptions and non-disclosure of critical information [4] - The penalties included administrative warnings and requirements for the firms to enhance compliance management and rectify identified issues [2][3][4] - Key personnel at Caitong Securities and CITIC JianTou Securities were also held accountable and received warnings for their management responsibilities [3][4]

Group 1 - The article discusses recent penalties imposed by various local securities regulatory authorities on three brokerage firms, including CITIC Securities, Caitong Securities, and CITIC Jiantou Securities, for compliance violations [1][2][3][4]. Group 2 - CITIC Securities (Shandong) Jinan Branch was penalized for allowing unqualified employees to conduct fund sales and failing to use standardized promotional materials, leading to a warning from the Shandong Securities Regulatory Bureau [2]. - Caitong Securities received a warning from the Zhejiang Securities Regulatory Bureau due to multiple compliance issues related to its overseas subsidiaries, including inadequate risk management and improper board member qualifications [3]. - CITIC Jiantou Securities was warned for failing to diligently supervise Sunshine Zhongke Energy Co., Ltd., which did not disclose significant production stoppages that adversely affected its operational capacity [4][5].

Global Asset Price Performance - Gold prices continue to rise, with London gold increasing by 2% this week [2] - European and Japanese stock markets saw gains, while US stock markets declined, with the S&P 500, Dow Jones, and Nasdaq dropping by 0.9%, 0.8%, and 0.7% respectively [2] - Global bond yields generally increased, with the 10-year US Treasury yield rising by 6 basis points [2] - Oil prices also saw an uptick, with WTI and Brent crude oil prices rising by 2.7% and 2.5% respectively [2] - The US dollar index strengthened by 0.6% [2] Major Central Bank Monetary Policies - Disagreements among Federal Reserve officials are evident, with Powell indicating economic growth is slowing and employment risks are increasing, yet maintaining a neutral stance on future policy [4] - Concerns about inflation were raised by two FOMC members, while others advocated for quicker rate cuts [4] US Economic Dynamics - New home sales in the US surged by 20.5% month-on-month in August, marking the largest monthly increase since August 2022, attributed to lower mortgage rates and increased sales incentives from builders [9] - The second quarter GDP growth rate was revised up to 3.8%, significantly higher than the initial estimate of 3% [9] - The PCE price index for August showed a year-on-year increase of 0.1 percentage points to 2.7%, indicating stable inflation pressures [9] - A potential government shutdown looms if Congress fails to reach an agreement by September 30, with significant partisan disagreements complicating negotiations [10] Other Regional Economic Dynamics - The Eurozone's manufacturing PMI fell to 49.5 in September, while the services PMI rose to 51.4, indicating a mixed economic outlook [17] - Japan's manufacturing PMI dropped to 48.4, the lowest since March, while the services PMI remained robust at 53 [17]

北京商报讯（记者郝彦）9月26日，浙江证监局发布公告表示，财通证券存在以下问题：未有效建立覆盖境外子公司的决策事项落实跟踪制度及决策效果评 估制度；未健全对境外子公司的风险管控机制；提名的境外子公司部分董事不符合相应任职条件。 上述情形违反规定，因此，浙江证监局决定对财通证券采取出具警示函的监督管理措施，并记入证券期货市场诚信档案。 钱斌作为财通证券总经理助理、财通证券（香港）有限公司时任董事长，对上述情形负有管理责任，也被出具警示函。 | 首页 | 证监局介绍 | 辖区监管动态 | 政务信息 | 办事服务 | 辖区数据 | 10 | | --- | --- | --- | --- | --- | --- | --- | | | ♥ 当前位置：首页 > 政务信息 > 主动公开目录 > 证监局文种体裁 > 行政监管措施 | | | | | | | 索 引 号 | bm56000001/2025-00010680 | | | | સ્ત્રે ਕੇੱਟ | 行政监管措施;证 | | 发布机构 | | | | | 发文日期 | 2025年09月26 | | ਸਮ 称 | 关于对财通证券股份有限公司采取出具警示函措施 ...

上述情形违反规定，因此，浙江证监局决定对财通证券采取出具警示函的监督管理措施，并记入证券期货市场诚信档案。 钱斌作为财通证券总经理助理、财通证券（香港）有限公司时任董事长，对上述情形负有管理责任，也被出具警示函。 北京商报讯（记者 郝彦）9月26日，浙江证监局发布公告表示，财通证券存在以下问题：未有效建立覆盖境外子公司的决策事项落实跟踪制度及决策效果评 估制度；未健全对境外子公司的风险管控机制；提名的境外子公司部分董事不符合相应任职条件。 | 首页 | 证监局介绍 | 辖区监管动态 | 政务信息 | 办事服务 | | 辖区数据 | 트 | | --- | --- | --- | --- | --- | --- | --- | --- | | | ♀ 当前位置：首页 > 政务信息 > 主动公开目录 > 证监局文种体裁 > 行政监管措施 | | | | | | | | 索 引 号 | bm56000001/2025-00010680 常 | | | | સ્ત્રે | | 行政监管措施;证 | | 发布机构 | 发文日期 | | | | | | 2025年09月26E | | ਸਮ 称 | 关于对财通证券股份有 ...

Group 1 - The core point of the news is that Feirongda's stock price has dropped by 5%, currently trading at 32.48 CNY per share, with a total market capitalization of 18.899 billion CNY [1] - Feirongda Technology Co., Ltd. specializes in the research, design, production, and sales of electromagnetic shielding materials and thermal management materials, with its main business revenue composition being: thermal management materials and devices 39.94%, electromagnetic shielding materials and devices 28.83%, lightweight functional devices 27.97%, and others 3.26% [1] Group 2 - From the perspective of fund holdings, one fund under Caitong Securities Asset Management has a significant position in Feirongda, with the Caitong Asset Management CSI 1000 Index Enhanced A fund holding 17,300 shares, accounting for 3.3% of the fund's net value [2] - The Caitong Asset Management CSI 1000 Index Enhanced A fund has a total scale of 10.2815 million CNY and has achieved a year-to-date return of 20.96% [2]