Group 1 - The Shenzhen Securities Regulatory Bureau issued a warning letter to Guotou Securities Co., Ltd. Shenzhen Branch for significant issues in public fund sales and investor suitability management [1] - Investigations revealed that some staff members made profit promises to investors, unqualified personnel participated in fund sales, and provided answers to knowledge assessments [1] - The actions violated regulations outlined in the "Measures for the Supervision and Administration of Publicly Raised Securities Investment Fund Sales Institutions" and the "Measures for the Management of Securities and Futures Investor Suitability" [1] Group 2 - Guotou Securities faced regulatory warnings from the Shanghai Stock Exchange due to discrepancies in their review opinions related to refinancing projects [2] - The company failed to report disciplinary actions from other exchanges in a timely manner, leading to penalties for providing inaccurate verification opinions [2] - The recent disciplinary actions were linked to violations in their initial public offering business within the past year [2]
承诺收益、无证销售等违规频出 国投证券深圳分公司被出具警示函
Xin Lang Zheng Quan·2025-06-25 08:53