对所辖分支机构合规管理不到位 联储证券收到监管警示函

Core Viewpoint - Zhejiang Securities Regulatory Bureau has identified compliance management issues at Lianchu Securities, leading to administrative regulatory measures against both the branch and the company itself [1][2] Group 1: Regulatory Actions - Lianchu Securities' Shaoxing Yumin Road Securities Branch failed to report significant events affecting its operations and client rights, resulting in a corrective administrative measure and a record in the securities market integrity file [1] - The company as a whole received a warning letter from the Zhejiang Securities Regulatory Bureau for inadequate compliance management across its branches, also recorded in the integrity file [1] Group 2: Previous Violations - In November of the previous year, Lianchu Securities was penalized by the Qingdao Securities Regulatory Bureau for insufficient risk management measures in its interbank lending business, leading to increased internal compliance checks [1] - The chairman and senior management of Lianchu Securities have also faced regulatory discussions and received warning letters from the Qingdao Securities Regulatory Bureau [2] Group 3: Company Overview - Lianchu Securities, established in 2001, is a fully licensed comprehensive securities company based in Qingdao, Shandong Province, with a registered capital of 3.23981 billion and net assets of 6.418 billion [2] - The company has 29 shareholders with no controlling shareholder, including major stakeholders such as Beijing Zhengrun Investment Group (23.67%) and Jiangsu Huaxi Village Co., Ltd. (11.7291%) [2] Group 4: Financial Performance - In the last annual report, Lianchu Securities reported an operating income of 64.194 million, a year-on-year decline of 91.50%, and a net loss attributable to the parent company of 956 million [2]