Core Viewpoint - The article discusses the regulatory actions taken against Chuan Cai Securities due to multiple compliance and internal control issues in its bond trading business [2][3][4]. Summary by Sections Regulatory Actions - Sichuan Securities Regulatory Bureau issued a warning letter to Chuan Cai Securities for deficiencies in internal systems, personnel management, information disclosure, compliance review, and transaction management in its bond trading operations [2][3]. - Since 2022, Chuan Cai Securities has received three regulatory letters from Sichuan Securities Regulatory Bureau and two written warnings from the Shanghai Stock Exchange due to bond business issues [3][4]. Compliance Issues - Specific compliance failures include inadequate internal controls in bond underwriting, insufficient due diligence on certain projects, and poor management of asset securitization projects [3][4]. - In December 2020, Chuan Cai Securities faced administrative measures including a three-month suspension of asset management product filings and a three-month halt on new self-operated bond investment scale due to compliance failures in bond trading [5][9]. Internal Control Deficiencies - The company has been found to have inadequate compliance and risk management in bond trading, with issues such as lack of on-site compliance personnel and ineffective management of trading department personnel [8][9]. - There are significant management issues within the bond trading department, including mixed operations of key roles and insufficient transaction monitoring [8][9].
川财证券又收警示函!
梧桐树下V·2025-08-15 09:44