金瑞期货遭警示！多项问题暴露内控缺陷

Core Viewpoint - Jinrui Futures Co., Ltd. has been issued a warning letter by the Shenzhen Securities Regulatory Bureau due to multiple compliance issues, including improper risk assessment practices and inadequate internal controls [1][2]. Group 1: Regulatory Issues - Jinrui Futures was found to have guiding statements in investor risk assessment questionnaires, with some client managers instructing clients on how to fill out or modify these questionnaires [1] - Certain employees without trading consultation qualifications sent market analysis information to clients, indicating a lack of proper management of client relationships [1] - The company's anti-money laundering system lacked sufficient review of risk control parameters, reflecting inadequate suitability management for traders and internal control deficiencies [1] Group 2: Asset Management Compliance - Jinrui Futures failed to adequately fulfill its active management responsibilities for certain private asset management plans, violating relevant regulations [1] - The company is subject to regulatory measures under the Futures Company Supervision Management Measures and the Private Asset Management Business Management Measures [1] Group 3: Company Overview - Jinrui Futures was established in 1997 and is headquartered in Shenzhen, with a registered capital of 933 million yuan [2] - The controlling shareholder of the company is Jiangxi Copper Group, and its business scope includes futures brokerage, risk management, asset management, futures investment consulting, and options trading [2]