中证协，最新通报！

Core Viewpoint - The article highlights six typical cases of self-discipline violations reported by the China Securities Association, emphasizing the need for compliance and integrity within the securities industry [2]. Group 1: Fraudulent Practices - Case one reveals that an employee at A Investment Consulting Company used fraudulent means to change their investment advisor registration by submitting a fake resignation letter [4]. - Case two involves multiple individuals from B Company who profited from lending their professional registration information to a third-party agency for business purposes [3][5]. Group 2: Compensation Mechanism Violations - Case three indicates that a securities company had a performance bonus calculation formula directly linked to project income, violating regulations that prohibit such practices [7]. - The China Securities Association stresses that employee compensation should not be directly tied to project income to prevent excessive risk-taking and ensure a balanced incentive system [8]. Group 3: Cultural Construction Evaluation Issues - Case four shows a securities company misrepresenting the status of its employee handbook during a cultural construction evaluation, undermining the evaluation's integrity [10]. - Case five highlights a lack of awareness among key personnel regarding their management responsibilities, indicating deficiencies in the company's oversight mechanisms [11]. - Case six points out that the internal audit department failed to supervise the self-assessment process, which is crucial for ensuring the validity and objectivity of the evaluation results [12].