华林证券被监管谈话 个别项目尽职调查不充分等

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has decided to take regulatory talk measures against Huayin Securities Co., Ltd., and its executives Zhu Wenjin and Ge Qiming due to insufficient due diligence, inadequate quality control, and non-compliance with project initiation procedures [1][6]. Regulatory Findings - Huayin Securities was found to have inadequate due diligence on certain projects, failing to meet the requirements set forth in the Securities Issuance and Listing Sponsorship Business Management Measures [1][6]. - The company violated multiple articles of the aforementioned regulations, including Article 5, Article 17, and Article 22, as well as internal control guidelines [1][6]. Responsibilities of Executives - Zhu Wenjin, as the executive responsible for investment banking, and Ge Qiming, as the general manager of the investment banking department, were held accountable for the identified issues [1][6]. Regulatory Actions - The CSRC has mandated that Huayin Securities, along with the responsible executives, participate in a regulatory talk session scheduled for April 2, 2025 [1][6]. - The company is required to conduct a thorough investigation and rectify the identified issues, enhancing its internal control systems and operational standards [1][6]. Compliance Requirements - Huayin Securities must submit a written accountability report to the Tibet Securities Regulatory Bureau, detailing the internal accountability measures taken against responsible personnel [1][6].