中泰期货2宗违规被责令改正 为中泰证券控股子公司
Zhong Guo Jing Ji Wang·2025-12-30 09:45

Core Viewpoint - Shandong Securities Regulatory Bureau has decided to impose corrective administrative measures on Zhongtai Futures Co., Ltd. due to management deficiencies and internal control issues [1][3]. Group 1: Management Issues - Zhongtai Futures has not effectively executed job responsibilities and performance assessments in some branches, indicating an incomplete management system [1][2]. - The company has violated Article 51 of the Futures Company Supervision and Administration Measures (CSRC Order No. 155) [2]. Group 2: Internal Control Deficiencies - Zhongtai Futures has engaged in activities that resemble corporate brokerage under the guise of individual brokerage and has inadequately reviewed internet marketing platforms, reflecting internal control flaws [1][3]. - This behavior violates Article 56 of the Futures Company Supervision and Administration Measures [2]. Group 3: Regulatory Actions - The Shandong Securities Regulatory Bureau has mandated Zhongtai Futures to rectify these issues within 30 days and report back in writing [3]. - The decision will be recorded in the securities and futures market integrity database [1][3].

Zhongtai Securities-中泰期货2宗违规被责令改正 为中泰证券控股子公司 - Reportify