国泰海通年内多次收监管警示

Group 1 - The Heilongjiang Securities Regulatory Bureau issued a warning letter to Guotai Junan Heilongjiang Branch due to multiple violations in brokerage and investment banking operations this year [1] - The violations include employees engaging in unauthorized securities trading, improper handling of client accounts, and inadequate employee management [1] - The regulatory measures were taken under the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] Group 2 - Guotai Junan's Heilongjiang Branch received another regulatory penalty this month from the Shenzhen Stock Exchange for issues related to independent financial advisory services [2] - The Shenzhen Stock Exchange criticized Guotai Junan for failing to adequately verify the revenue recognition of the target company during the asset restructuring process [2] - Two project sponsors, Zhu Kaikai and Lin Zipeng, were also reprimanded for their roles in the project [2]