券商中国·2026-03-14 15:48Group 1 - Zhejiang Securities Regulatory Bureau issued regulatory penalties to two securities firms this week, with Zheshang Securities facing administrative measures for compliance issues in its custody department and asset management subsidiaries [1][2] - Zheshang Securities was found to have four main issues in its custody business, including lack of experienced personnel, non-independent office space, inadequate supervision standards, and poor management of personnel conduct [2] - The firm has been authorized to conduct private fund custody since January 2015 and has approximately 1.623 billion public fund custody shares involving five public funds as of now [2] Group 2 - The regulatory measures require Zheshang Securities to identify and rectify issues, enhance legal and regulatory training, strengthen internal controls, and submit a written report to the Zhejiang Securities Regulatory Bureau within three months [3] - Two former employees of Caitong Securities, Peng and Yang, faced regulatory discussions for not adhering to professional standards during their tenure, violating the regulations for corporate bond issuance and trading [4] - Caitong Securities had previously received a warning from the China Securities Regulatory Commission due to inadequate internal control mechanisms and insufficient due diligence in bond underwriting [4]