SDIC Capital(SH:600061) Zhong Guo Jing Ji Wang·2025-05-11 07:38Summary of Key Points Core Viewpoint - The Shenzhen Securities Regulatory Bureau has issued an administrative regulatory measure against Wu Yu for violating regulations during his tenure at Guotou Securities, specifically for making illegal profit promises to investors and providing information for off-platform trading [1][6]. Company Overview - Guotou Securities, originally known as Anxin Securities, was established in August 2006 and has since acquired various securities assets through market-based methods. The company is primarily owned by the National Development Investment Group and operates as a fully licensed comprehensive brokerage firm with multiple business lines ranking among the top in the country [2]. Regulatory Framework - The violations committed by Wu Yu contravened specific articles of the "Measures for the Supervision and Administration of Publicly Raised Securities Investment Fund Sales Institutions" and the "Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies" [1][6]. - Article 24 of the fund sales regulation explicitly prohibits fund sales institutions and their personnel from making false statements, misleading claims, or promising returns, among other violations [2]. - The regulatory measures taken include issuing a warning letter, which is a common administrative action for such violations [1][6]. Administrative Measures - According to the regulations, the Shenzhen Securities Regulatory Bureau can impose various administrative measures, including warnings, corrective orders, and potential legal actions against responsible personnel for compliance failures [3][4][5].