渤海证券合规管理不到位被责令改正 为年内第三次被罚

Core Points - The China Securities Regulatory Commission (CSRC) has imposed corrective measures on Bohai Securities Co., Ltd. Guangdong Branch for failing to report significant events affecting management and client rights in a timely manner [1][5] - This marks the third penalty for Bohai Securities in 2025, indicating ongoing compliance issues within the company [2] Summary by Category Compliance Issues - Bohai Securities Guangdong Branch did not report a major event that could impact its operations and client interests, violating regulatory requirements [1][5] - The branch's management showed inadequate compliance, as evidenced by the improper handling of client securities accounts by branch personnel [1][5] Regulatory Actions - The Guangdong Securities Regulatory Bureau has mandated corrective actions for Bohai Securities, requiring a report on the rectification plan within 30 days [1][5] - In a previous incident, Bohai Securities was fined and had its business income of 566,037.74 yuan confiscated due to negligence in verifying the source of funds and actual controllers during a financial advisory project [2][12] Historical Context - Earlier in 2025, Bohai Securities faced a warning for failing to manage employee compliance effectively, particularly regarding unauthorized sales of private placement products [2][7]