财通证券与总助各收警示函 境外子公司风险管控未健全

Core Points - Zhejiang Securities Regulatory Bureau issued warning letters to Caitong Securities and its assistant general manager Qian Bin due to compliance failures [1][2][3] Group 1: Company Compliance Issues - Caitong Securities failed to establish an effective tracking system for decision-making and evaluation for its overseas subsidiaries [1][3] - The company did not have a robust risk management mechanism for its overseas subsidiaries [1][3] - Some directors nominated for overseas subsidiaries did not meet the required qualifications [1][3] Group 2: Regulatory Actions - The violations were found to breach multiple regulations, including the Compliance Management Measures for Securities Companies and the Management Measures for Overseas Institutions [1][3][6] - The regulatory authority decided to issue warning letters as a supervisory measure, which will be recorded in the securities and futures market integrity archives [1][3][6] - Qian Bin, as the assistant general manager and former chairman of Caitong Securities (Hong Kong), was held responsible for the management failures and also received a warning letter [2][6]