Group 1 - The Qingdao Securities Regulatory Bureau has issued an administrative regulatory decision targeting the Qingdao branch of Hengtai Futures Co., Ltd. due to significant internal control and risk management deficiencies [1] - The branch's client development business was essentially outsourced, violating the continuous operation rules and endangering the institution's stability and the legitimate rights of traders [1] - The regulatory decision includes a three-month suspension of new account openings for futures brokerage business, effective from the date of receipt of the decision [2] Group 2 - The branch is required to rectify the identified issues within 30 working days from the receipt of the decision and submit a report on the rectification status [2] - During the suspension period, the branch must maintain and service existing clients while conducting a comprehensive overhaul of internal controls and compliance risk management [2] - The suspension of new account openings will be lifted only after a successful inspection and approval by the regulatory bureau [2]
恒泰期货青岛营业部被暂停新开户3个月,涉业务承包违规等
Sou Hu Cai Jing·2026-01-06 09:58