Founder Securities(SH:601901) Xin Lang Cai Jing·2025-11-17 10:58Core Viewpoint - Regulatory authorities have issued an administrative warning to the Guangzhou Jinyu Second Street Securities Business Department of Founder Securities Co., Ltd. due to compliance issues [1][2]. Regulatory Measures Overview - The core content of the regulatory measure is the issuance of a "warning letter," a common administrative regulatory tool in the securities industry, typically addressing compliance issues or risk hazards during operations [2]. - Specific details regarding the violations and their severity have not yet been disclosed by the regulatory authorities, and Founder Securities has not released any supplementary announcements regarding the matter [2]. Industry Impact Observation - Securities business departments serve as the service terminals for brokerages, and their compliance operations are directly related to the protection of investor rights and the stability of market order [3]. - Regulatory bodies have been increasingly strengthening compliance inspections of brokerage branches, focusing on areas such as client suitability management, information system security, and anti-money laundering obligations [3]. - The issuance of the warning letter may indicate weaknesses in one of these areas at the business department in question [3]. Company Follow-up Response - In accordance with regulatory requirements, the Guangzhou Jinyu Second Street Securities Business Department of Founder Securities must complete rectification of the issues within a specified timeframe and submit a written rectification report to the regulatory authorities [4]. - Market participants note that the compliance management level of brokerage branches will directly impact the overall business operations and brand reputation of the company, necessitating that Founder Securities quickly identify the root causes of the issues and improve its internal risk control system [4].