第一创业前从业人员被警示

Regulatory Actions - Shenzhen Securities Regulatory Bureau issued an administrative regulatory measure against Xie Tinglan, a former employee of First Capital Securities, for violating regulations by promoting external over-the-counter options platforms and facilitating client transactions [1] - The specific violations included introducing clients to external over-the-counter options platforms and providing convenience for clients to engage in trading through these platforms [1] - Xie Tinglan's professional information is no longer available in the public records of the Securities Industry Association, indicating she may have left her position [1] Company Performance - First Capital Securities, established in 1998 and headquartered in Shenzhen, was listed on the Shenzhen Stock Exchange in May 2016 [2] - For the first three quarters of the year, the company reported revenue of 2.985 billion yuan and a net profit attributable to shareholders of 771 million yuan, representing year-on-year growth of 24.32% and 20.21%, respectively [2] Ongoing Investigations - First Capital Securities' subsidiary, First Capital Investment Banking, is under investigation by the China Securities Regulatory Commission for failing to diligently oversee the Hongda Xingye 2019 convertible bond project [1] - The investigation is based on allegations of inadequate diligence in the continuous supervision of the project, in accordance with relevant laws and regulations [1]