光大证券又一营业部遭监管警示

Group 1 - Zhejiang Securities Regulatory Bureau issued a warning letter to Everbright Securities Lishui Lighthouse Street Securities Business Department for internal control deficiencies and non-compliance issues [1] - The department was found to have assigned marketing tasks to non-marketing personnel and failed to separate incompatible job responsibilities [1] - The head of the department, Lei Haijun, received a warning letter and was required to enhance compliance awareness and improve internal control mechanisms [1] Group 2 - Guangxi Securities Regulatory Bureau penalized Everbright Securities Nanning Jinpu Road Securities Business Department for improper practices, including paying commissions to client introducers and facilitating "circumventing regulations" for clients [2] - The company reported a revenue of 9.598 billion yuan in 2024, a decrease of 4.32% year-on-year, and a net profit of 3.058 billion yuan, down 28.39% year-on-year [2] - The brokerage business net income increased to 2.991 billion yuan in 2024, compared to 2.77 billion yuan in 2023, benefiting from market conditions [2] Group 3 - As of the end of 2024, Everbright Securities had 14 branches and 227 securities business departments, having reduced 15 departments during the year [3] - Increased competition in the industry has led to a situation where excessive business outlets do not guarantee profit growth, potentially intensifying competition [3] - The emergence of technology and AI is transforming service models, reducing the necessity for physical outlets, and prompting cost-cutting measures in a weak market [3]