华林证券今年5次收罚单

Core Viewpoint - Jiangsu Securities Regulatory Commission has issued administrative regulatory measures against Hualin Securities' Jiangsu branch for three violations, leading to corrective actions and inclusion in the securities market integrity record [1] Group 1: Regulatory Issues - Hualin Securities' Jiangsu branch has been found to have issues including: 1. Individual brokers not strictly adhering to authorized business scope 2. Inadequate management of abnormal trading, with some monitoring records not retained for verification 3. Failure to conduct required client follow-ups [1][1][1] Group 2: Financial Performance - Hualin Securities has seen significant growth in performance due to the strong A-share market, reporting a revenue of 1.2 billion yuan for the first three quarters, a year-on-year increase of 18.08% - The net profit attributable to shareholders reached 440 million yuan, marking a substantial year-on-year growth of 45.66% [1][1][1] Group 3: Shareholder Actions - The major shareholder, Liyue Group, has announced 10 instances of share pledges this year - On December 18, Hualin Securities announced that Liyue Group pledged 44 million shares for loan purposes, which represents 2.53% of its total holdings [1][1][1]