宏源期货未落实合规要求收警示函 申万宏源全资控股

Group 1 - The China Securities Regulatory Commission (CSRC) has issued a warning letter to Hongyuan Futures Co., Ltd. for failing to establish and maintain a comprehensive compliance management, risk management, and internal control system covering its subsidiaries and their operations [1][2] - Hongyuan Futures, a wholly-owned subsidiary of Shenwan Hongyuan (000166.SZ), violated Article 51 of the Futures Company Supervision and Administration Measures, which mandates the establishment of a robust risk management framework [2] - The regulatory action taken by the Beijing Securities Regulatory Bureau is based on Article 109 of the same measures, allowing for administrative supervision measures such as warning letters for violations [2]