证券时报·2026-03-15 00:01Group 1 - Zhejiang Securities Regulatory Bureau issued regulatory penalties to two securities companies for compliance issues [1][3] - Zheshang Securities faced four main issues in its custody business, including lack of experienced personnel and inadequate compliance management [3][4] - Zheshang Securities has approximately 1.623 billion public fund custody shares involving five public funds as of 2024 [3] Group 2 - The company is required to identify and rectify issues, enhance legal and regulatory training, and strengthen internal controls and compliance management [4] - Two former employees of Caitong Securities were penalized for not adhering to professional standards during their tenure [6][7] - Caitong Securities had previously received a warning from the China Securities Regulatory Commission due to inadequate internal control mechanisms and insufficient due diligence [7]