3家券商收警示函！

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has issued warning letters to three securities firms due to various regulatory violations in their bond issuance and management practices [1]. Group 1: Financial Violations by Firms - Financial violations were identified at Caitong Securities, including inadequate internal control mechanisms for bonds, insufficient due diligence in underwriting, and failure to ensure the issuer's compliance with information disclosure obligations [2][6][7]. - Zhongtian Guofu Securities was found to have lax internal controls, non-compliance in underwriting, and inadequate management of entrusted projects, failing to analyze significant risk factors related to the issuer's financial data [8][9][14]. - Pacific Securities exhibited similar issues, including poor internal control over bonds, inadequate responses to quality control feedback, and insufficient tracking of core enterprises' operational conditions during the bond's duration [12][13][14].