Core Viewpoint - The Shandong Securities Regulatory Bureau has imposed corrective measures on Tianfeng Securities Co., Ltd.'s Weifang Dongfeng East Street Securities Business Department due to violations related to the handling of labor remuneration and the promotion of non-licensed private equity funds [1][5]. Group 1: Regulatory Actions - The Shandong Securities Regulatory Bureau has decided to take administrative corrective measures against Tianfeng Securities' Weifang branch, which includes recording the violations in the securities and futures market integrity database [5]. - The bureau has mandated the business department to cease the violations and implement effective measures for rectification, emphasizing the need to strengthen financial discipline and internal controls [5]. - The responsible individual, Du Jichang, is also subject to corrective measures and must submit a written report on the rectification status within 30 days of receiving the decision [5]. Group 2: Violations Details - The Weifang Dongfeng East Street Securities Business Department misused part of the brokers' labor remuneration for marketing expenses and made additional payments to certain individuals, maintaining separate detailed accounts for these transactions [1][5]. - Du Jichang promoted private equity investment funds that were not sold by Tianfeng Securities, which constitutes a breach of regulatory compliance [1].
天风证券潍坊一营业部被查,涉及私设账目、违规推介私募基金