员工违规买卖证券，国泰海通再遭监管警示！

Group 1 - Guotai Junan Securities has received multiple regulatory warnings this year for violations in brokerage and investment banking operations, with the Heilongjiang branch being specifically cited for employee misconduct and inadequate management [1] - The Heilongjiang branch's violations include unauthorized trading of securities by employees and improper handling of client accounts, leading to a warning letter from the Heilongjiang Securities Regulatory Bureau [1] - The branch's head, Chi Jun, and another employee, Cui Gang, also received warning letters for their roles in the violations, which included improper account operations and promoting non-official financial products [1] Group 2 - In December 2023, the Shenzhen Stock Exchange accepted an asset restructuring application from Jieneng Tihuan, with Guotai Junan acting as the independent financial advisor, although the project had previously been terminated due to material withdrawal [2] - The Shenzhen Stock Exchange criticized Guotai Junan for inadequate verification of revenue recognition for the target company, resulting in a written warning and criticism of the project leaders [2] Group 3 - In May 2023, Guotai Junan Securities received its first investment banking penalty shortly after its merger, with five major violations identified during the IPO sponsorship of Zhongding Hengsheng, including failure to address significant internal control deficiencies [3] - The Shenzhen Stock Exchange issued a reprimand and reported the violations to the China Securities Regulatory Commission, with involved representatives facing a six-month ban from signing any listing application documents [3] - Despite achieving a significant increase in revenue and profit in the first three quarters post-merger, issues related to internal controls and integration have been highlighted, including technical problems affecting client transactions during the transition period [3]