川财证券收警示函 债券交易业务合规审查落实不到位等

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has issued a warning letter to Sichuan Caifu Securities Co., Ltd. due to deficiencies in internal systems, compliance, and management practices in its bond trading operations [1][2]. Summary by Relevant Sections Compliance Issues - Sichuan Caifu Securities has been found to have inadequate internal system construction and internal control mechanisms, insufficient management of personnel and information disclosure, and poor implementation of compliance reviews [1][2]. Regulatory Violations - The company violated several regulations, including: - Article 6(4) of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies (CSRC Order No. 166) - Article 7 and Article 12(2) of the Interim Provisions on Securities Investment Advisory Business (CSRC Announcement [2020] No. 66) - Article 2 of the Notice on Regulating Bond Market Participants' Bond Trading (Yin Fa [2017] No. 302) [1][2]. Administrative Measures - The Sichuan Securities Regulatory Bureau has decided to take administrative supervision measures by issuing a warning letter to the company based on relevant regulations [1][2].