四川一证券公司再收警示函！已连续四年遭证监局“点名”→

Core Viewpoint - Sichuan Securities Regulatory Bureau issued a warning letter to Chuan Cai Securities due to deficiencies in internal control mechanisms, personnel management, and compliance review in bond trading operations [1][4]. Group 1: Regulatory Actions - Chuan Cai Securities has been issued warning letters for four consecutive years since 2022, indicating ongoing compliance issues [3]. - Previous warnings included problems with the election of directors and supervisors, insufficient due diligence in bond underwriting, and inadequate internal and risk control measures [3][4]. Group 2: Financial Performance - In 2024, Chuan Cai Securities reported a revenue of 296 million yuan, a decrease of 57 million yuan, representing a decline of 16.18% year-on-year [7]. - The total profit for the year was 15.58 million yuan, down by 10.91 million yuan, marking a decline of 41.19% [7]. - Net profit for 2024 was 15.04 million yuan, a decrease of 9.47 million yuan, reflecting a decline of 38.64% [7]. Group 3: Company Background - Chuan Cai Securities was established in July 1988 and is the first professional securities company transformed from a fiscal treasury intermediary [5]. - Major shareholders include China Huadian Group, Sichuan State-owned Assets Management Company, and Sichuan Hydropower Investment Group [6].