天风证券收到行政处罚事先告知书 投资者可参与索赔

Core Viewpoint - Tianfeng Securities has received an administrative penalty notice from the Hubei Regulatory Bureau of the China Securities Regulatory Commission (CSRC) due to significant violations of information disclosure obligations, particularly regarding related party transactions and non-operating fund occupation from 2020 to 2022 [2][4]. Group 1: Violations and Penalties - Tianfeng Securities failed to disclose related party transactions with the Contemporary Group in its annual reports for 2020 to 2022, which constitutes a major omission [2][4]. - The company also did not disclose non-operating fund occupation in its annual reports for 2020 and 2021, representing another significant omission [2][4]. - Additionally, there was a failure to disclose other types of related party transactions with the Contemporary Group from 2020 to 2022, as well as related party transactions with Guanggu Financing Leasing in the 2021 annual report [2][4]. Group 2: Legal Proceedings and Investor Implications - On the same night that Tianfeng Securities announced the receipt of the administrative penalty notice, it was also announced that the company is under investigation for alleged violations related to shareholding changes in Fujian Yong'an Forestry (Group) Co., Ltd. [5]. - Investors who purchased Tianfeng Securities between April 28, 2021, and November 28, 2025, and sold or held the shares after November 29, 2025, may be eligible for compensation related to the first investigation [3][5].