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警告!通报批评!交易商协会连开5张罚单
券商中国·2025-08-09 07:24

Core Viewpoint - The article discusses the self-regulatory disciplinary actions taken by the Interbank Market Dealers Association against five companies for violating market principles and regulations related to non-market-based issuance and inadequate rating practices [1][2][3][4]. Group 1: Disciplinary Actions - Five companies, including Fuxi Asset, Shanghai Huancai, Jiangsu Yuning, Zhongyuan Futures, and Zhongzheng Pengyuan, received self-regulatory disciplinary actions from the Interbank Market Dealers Association [1]. - Fuxi Asset was severely warned for assisting multiple issuers in non-market-based issuance and charging large financial support or holding service fees, violating principles of fairness and transparency [2]. - Shanghai Huancai was warned for facilitating "self-financing" issuance through nested private funds, also breaching fairness and transparency principles [2]. - Jiangsu Yuning received a severe warning for similar violations as Fuxi Asset, assisting issuers in non-market-based issuance and charging large financial support [3]. - Zhongyuan Futures was warned for failing to prudently verify the relationships between entrusted parties and issuers, which aided in "self-financing" issuance [3]. - Zhongzheng Pengyuan was warned for multiple violations, including sending rating upgrade proposals to potential subjects and failing to maintain effective separation between rating analysts and marketing personnel [4].