SDIC Capital(SH:600061) Zhong Guo Jing Ji Wang·2025-12-05 07:01Group 1 - The Xiamen Securities Regulatory Bureau issued a warning letter to Guotou Securities Co., Ltd. due to inadequate compliance management of brokers at its Xiamen Minzu Road Securities Business Department, violating the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1][3] - The warning letter is a supervisory measure based on Article 32, Paragraph 1 of the Compliance Management Measures, which allows the China Securities Regulatory Commission to take administrative regulatory actions for violations [2][3] - The relevant situation will be recorded in the integrity file according to the Integrity Supervision Measures for the Securities and Futures Market [1][3] Group 2 - Guotou Securities Co., Ltd. is a wholly-owned subsidiary of Guotou Capital, previously known as Anxin Securities Co., Ltd. [1] - The Compliance Management Measures stipulate that compliance management should cover all business areas, departments, branches, subsidiaries, and all staff, encompassing decision-making, execution, supervision, and feedback [2]