更名后首次被监管“点名”，金融街证券7名员工集中被曝违规

Core Viewpoint - Financial Street Securities has come under regulatory scrutiny due to compliance risks involving multiple employees, overshadowing its impressive financial performance since its rebranding in September 2025 [1][4]. Group 1: Regulatory Actions - The Inner Mongolia and Guangdong Securities Regulatory Bureaus have taken regulatory measures against Financial Street Securities and seven of its employees for internal control failures, unauthorized promotion of non-commissioned products, and improper benefits to clients [1][2]. - The regulatory actions include issuing warning letters to six employees in Inner Mongolia and a supervisory conversation with one employee in Guangdong, indicating a widespread issue of employee misconduct [1][3]. Group 2: Financial Performance - In the first half of 2025, Financial Street Securities reported a net profit of 2.41 billion, a staggering increase of 346.86% year-on-year, with its brokerage and wealth management business contributing significantly with a revenue growth of over 36% [1][5]. - The company achieved total operating revenue of 16.66 billion, reflecting a year-on-year growth of 42.45%, indicating a recovery in performance since the change in control to Beijing Financial Street Investment Group [4][5]. Group 3: Business Operations and Compliance Issues - The brokerage and wealth management segment generated 9.51 billion in revenue, up 36.19% year-on-year, driven by increased market activity and an expanded client base, with 143,900 new accounts opened [5]. - The compliance issues highlighted include employees engaging in unauthorized sales of non-commissioned products and failing to use standardized promotional materials, which raises concerns about the company's internal control and compliance management [3][4][5].