中原证券股份有限公司 关于收到中国证券监督管理委员会行政监管措施决定书的公告

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has decided to suspend Zhongyuan Securities' bond underwriting business from October 17, 2024, to April 16, 2025, due to multiple violations of regulations [1] Summary by Relevant Sections Violations Identified - Zhongyuan Securities was found to have engaged in non-market-based bond issuance by helping issuers and investors sign consulting service agreements that included interest compensation [1] - The company inadequately verified the repayment ability of issuers in certain bond projects, failing to identify instances of default on financing lease contracts [1] - During the ongoing supervision of some projects, the company did not diligently uncover financial fraud by issuers [1] - The former head of the quality control department received project commission while participating in quality control work, leading to inadequate acceptance of quality control documentation [1] Regulatory Actions - The CSRC's decision to suspend the bond underwriting business is based on violations of several regulations, including the "Measures for the Administration of Company Bond Issuance and Trading" and the "Guidelines for Internal Control of Investment Banking Business" [1] - The company is required to conduct a thorough investigation and rectify the identified issues, establish and strictly implement internal control systems, and submit a written accountability report to the Henan Securities Regulatory Bureau [1] Management Accountability - The CSRC has mandated that the company's general manager, Li Zhaoxin, and former deputy general manager, Hua Jinzong, attend regulatory discussions with the commission [1] - The company is expected to hold responsible personnel accountable according to its internal accountability system [1] Business Impact - Other business operations of Zhongyuan Securities are currently normal, but the impact of the suspension on future operating performance remains uncertain [1]