财通证券被责令改正 场外衍生品业务存三方面问题

Core Points - Zhejiang Securities Regulatory Bureau has disclosed corrective measures against Caitong Securities Co., Ltd. for issues in its over-the-counter derivatives business [1][2] - The company failed to maintain a sound management mechanism for underlying assets and did not conduct timely dynamic adjustments [1] - The annual review of investor qualifications was inadequate, and there was ineffective management of system permissions and passwords [1] Regulatory Actions - The Zhejiang Securities Regulatory Bureau decided to impose corrective measures on Caitong Securities based on violations of multiple regulatory guidelines [2] - A warning letter was issued to Pei Gen Cai, a senior management member responsible for the related business, which will be recorded in the securities and futures market integrity archive [2] Company Background - Caitong Securities' 2024 annual report indicates that Pei Gen Cai, born in February 1966, holds a master's degree in economics and has been with the company since June 2010 [2] - Pei Gen Cai has held various positions within the company, including assistant general manager and chairman of Caitong Innovation, and currently serves as assistant general manager [2]