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知情不报!渤海证券广东分公司被责令改正
Shen Zhen Shang Bao·2025-08-22 12:54

Group 1 - The core issue identified is that Bohai Securities Guangdong Branch failed to report significant events affecting management and client rights in a timely manner, violating regulatory requirements [3] - The branch's manager was found to have operated client securities accounts in violation of regulations, indicating inadequate compliance management [3] - The Guangdong Securities Regulatory Bureau has mandated corrective actions against Bohai Securities Guangdong Branch due to these compliance failures [4] Group 2 - In February, Bohai Securities received an administrative penalty from the CSRC for failing to perform due diligence in financial advisory work, resulting in a business income confiscation of 566,000 yuan and a fine of 1.6981 million yuan, marking the highest single penalty in three years [4] - From 2024 to 2025, Bohai Securities faced cumulative penalties exceeding 4.2 million yuan related to financial advisory business failures, particularly involving bond repurchase and New Third Board recommendations [4] - The company's IPO journey has faced multiple interruptions due to external factors, including a suspension in March 2023 due to outdated financial data and another in October 2024 due to the need to change accounting firms following penalties related to the Evergrande case [5]