关于对华林证券股份有限公司辽宁分公司采取出具警示函措施的决定 中国经济网北京1月26日讯中国证监会辽宁监管局网站1月23日公布关于对华林证券（002945）股份有限 公司辽宁分公司采取出具警示函措施的决定。 经查，华林证券股份有限公司辽宁分公司在处理投诉事项时存在不相容岗位未有效分离的情况，违反了 《证券经纪业务管理办法》(证监会令第204号)第四十条的规定。 根据《证券经纪业务管理办法》(证监会令第204号)第四十三条的规定，辽宁证监局决定对该分公司采 取出具警示函的监督管理措施，并记入证券期货市场诚信档案。 近四个月，华林证券已四次收警示函。此前，中国证监会网站2025年12月17日披露江苏证监局关于对华 林证券股份有限公司江苏分公司采取责令改正行政监管措施的决定。经查，华林证券江苏分公司存在以 下问题：一是个别经纪人未严格按照授权范围展业；二是异常交易管理不到位，部分异常交易监控预警 未留存核查记录；三是未按要求对客户进行回访。江苏证监局决定对华林证券江苏分公司采取责令改正 行政监管措施，并记入证券期货市场诚信档案。 西藏证监局于2025年10月24日发布关于对华林证券股份有限公司采取出具警示函措施的决 ...

Core Viewpoint - The Liaoning Securities Regulatory Bureau issued a warning letter to Hualin Securities' Liaoning branch due to non-compliance with regulations regarding the separation of incompatible positions in handling complaints, marking a continued trend of regulatory scrutiny on the company [1] Group 1: Regulatory Actions - Hualin Securities' Liaoning branch received a warning letter for failing to effectively separate incompatible positions, violating the Securities Brokerage Business Management Measures [1] - The company has faced multiple regulatory actions since 2025 due to violations in investment banking and brokerage operations [1] Group 2: Financial Performance - For the third quarter of 2025, Hualin Securities reported total revenue of 364.81 million yuan, a decrease of 8.4% year-on-year, while total revenue for the year-to-date reached 1.20 billion yuan, an increase of 18.08% [3] - The net profit attributable to shareholders for the third quarter was 103.80 million yuan, down 41.95% year-on-year, while the year-to-date net profit was 440.06 million yuan, up 45.66% [3] - The company's investment banking revenue has been declining, with its share of total revenue falling below 1% in the first half of the previous year [2] Group 3: Shareholder and Ownership Changes - The major shareholder, Liyue Group, has pledged its shares 10 times within the year, indicating potential liquidity concerns or strategic financial maneuvers [1]

| 首页 | 证监局介绍 | 辖区监管动态 | 政务信息 | 办事服务 | 辖区数据 | 互动交流 | | --- | --- | --- | --- | --- | --- | --- | | | ♥ 当前位置：首页 > 政务信息 > 主动公开 > 证监局主题分类 > 行政执法 | | | | | | | 索 引 号 | bm56000001/2026-00000878 | | | | ਜੇ 崇 | 行政执法;行政监管措施 | | 发布机构 | 辽宁局 | | | | 发文日期 | 2026年01月23日 | | 名 称 | | 关于对华林证券股份有限公司辽宁分公司采取出具警示函措施的决定 | | | | | | 文 름 | 〔2026〕 1号 | | | | 主题词 | | 北京商报讯(记者刘宇阳)1月23日，辽宁证监局发布公告表示，经查华林证券（002945）辽宁分公司在处理投诉事项时存在不相容岗位未有效分离的情况， 违反了相关规定，决定对华林证券辽宁分公司采取出具警示函的监督管理措施，并记入证券期货市场诚信档案。 ...

Market Overview - The securities sector experienced a slight decline of 0.07% on January 23, with GF Securities leading the drop [1] - The Shanghai Composite Index closed at 4136.16, up 0.33%, while the Shenzhen Component Index closed at 14439.66, up 0.79% [1] Individual Stock Performance - Notable gainers included: - Huayin Securities (002945) with a closing price of 17.86, up 3.78% and a trading volume of 476,000 shares, totaling 846 million yuan [1] - Xiangcai Shares (600095) closed at 11.70, up 2.18% with a trading volume of 597,900 shares, totaling 701 million yuan [1] - Major decliners included: - GF Securities (000776) closed at 22.31, down 1.24% with a trading volume of 580,600 shares, totaling 1.3 billion yuan [2] - Tushin Securities (002736) closed at 12.56, down 1.02% with a trading volume of 586,200 shares, totaling 740 million yuan [2] Fund Flow Analysis - The securities sector saw a net outflow of 1.644 billion yuan from institutional investors, while retail investors contributed a net inflow of 1.15 billion yuan [2][3] - Key stocks with significant fund flows included: - Guotai Junan (601211) with a net inflow of 180 million yuan from institutional investors [3] - Huayin Securities (002945) had a net inflow of 86.16 million yuan from institutional investors [3] ETF Performance - Financial Technology ETF (516100) saw a decline of 5.40% over the past five days, with a current PE ratio of 76.53 and a net subscription of 21.78 million yuan [5] - Securities ETF (515010) decreased by 1.29% over the past five days, with a PE ratio of 17.02 and a net redemption of 76.32 million yuan [5]

Group 1 - The core viewpoint of the news is that Huayin Securities has shown a positive stock performance with a year-to-date increase of 14.55% and a recent market capitalization of 47.41 billion yuan [1] - As of January 23, Huayin Securities' stock price reached 17.56 yuan per share, with a trading volume of 1.64 billion yuan and a turnover rate of 0.35% [1] - The company has experienced a net inflow of main funds amounting to 20.12 million yuan, with significant buying and selling activities recorded [1] Group 2 - Huayin Securities, established on June 18, 1997, is located in Shenzhen, Guangdong Province, and was listed on January 17, 2019. Its main business includes securities brokerage, investment banking, credit services, asset management, and proprietary trading [2] - The revenue composition of Huayin Securities is as follows: wealth management business 60.28%, proprietary business 26.39%, other businesses 11.54%, investment banking 0.98%, and asset management 0.81% [2] - As of September 30, 2025, Huayin Securities reported a revenue of 1.20 billion yuan, reflecting a year-on-year growth of 18.08%, and a net profit attributable to shareholders of 440 million yuan, with a growth of 45.66% [2] Group 3 - Since its A-share listing, Huayin Securities has distributed a total of 891 million yuan in dividends, with 259 million yuan distributed over the past three years [3] - As of September 30, 2025, the number of shareholders of Huayin Securities was 52,800, a decrease of 5.46% from the previous period, while the average circulating shares per person increased by 5.78% to 51,138 shares [2][3] - The top ten circulating shareholders include notable entities such as Guotai Junan CSI All-Share Securities Company ETF and Hong Kong Central Clearing Limited, with varying changes in their holdings [3]

证券日报网讯 1月22日，华林证券在互动平台回答投资者提问时表示，公司严格遵守信息披露相关规 定，若达到应当披露业绩预告的情形，公司将在规定时间内履行信息披露义务。关于公司2025年的经营 情况，敬请关注公司届时披露的2025年年度报告。 （文章来源：证券日报） ...

Core Viewpoint - China Ocean Fund Management Co., Ltd. has announced the addition of Huajin Securities Co., Ltd. and Hualin Securities Co., Ltd. as sales agents for certain funds, effective January 21, 2026, allowing for fund conversion and regular investment services [1][5]. Group 1: Fund Sales and Services - Starting January 21, 2026, Huajin Securities will begin selling the following funds under a front-end fee model: - China Ocean Progressive Income Flexible Allocation Mixed Securities Investment Fund (Fund Code: 001252) - China Ocean Charm Yangtze River Delta Flexible Allocation Mixed Securities Investment Fund (Fund Code: 001864) [1] - Similarly, Hualin Securities will also start selling the same funds under the same fee model from the same date [5]. Group 2: Fund Conversion and Regular Investment - Fund conversion services will be available at Huajin Securities, with a minimum application amount of 1 share for each transaction [2] - Regular investment services will also be available at Huajin Securities, with a minimum deduction amount of 1 yuan per period [2] - Hualin Securities will offer the same fund conversion and regular investment services with identical minimum requirements [6] Group 3: Customer Service and Information - Investors can contact Huajin Securities at customer service number 956011 for inquiries [3] - For further details, investors can reach out to China Ocean Fund Management Co., Ltd. at 400-888-9788 or visit the company website at www.zhfund.com [3][6]

(责任编辑：徐自立) 中国经济网北京1月19日讯 华林证券(002945.SZ)今日股价收报17.47元，跌幅1.74%。 今日，证券板块跌0.01%，华林证券为该板块跌幅最大的上市公司。 ...

Market Overview - On January 19, the securities sector declined by 0.22%, with Huayin Securities leading the drop [1] - The Shanghai Composite Index closed at 4114.0, up 0.29%, while the Shenzhen Component Index closed at 14294.05, up 0.09% [1] Individual Stock Performance - Guolian Minsheng (601456) closed at 9.88, up 2.60% with a trading volume of 583,000 shares and a turnover of 577 million yuan [1] - Huayin Securities (002945) closed at 17.47, down 1.74% with a trading volume of 339,700 shares and a turnover of 594 million yuan [2] - Dongfang Caifu (300059) closed at 23.50, down 1.63% with a trading volume of 2,997,400 shares and a turnover of 7.065 billion yuan [2] Capital Flow Analysis - The securities sector experienced a net outflow of 1.866 billion yuan from institutional investors, while retail investors saw a net inflow of 1.136 billion yuan [2] - Major stocks like Guotai Junan (601211) had a net inflow of 118 million yuan from institutional investors, while retail investors had a net outflow of 66.72 million yuan [3] - The overall trend indicates a mixed sentiment among different investor types, with institutional investors pulling back while retail investors are more active [2][3]

Group 1 - The number of monthly active users for securities apps reached 175 million in December 2025, marking a month-on-month increase of 1.75% and a year-on-year increase of 2.26%, setting a new monthly record for 2025 [1] - CITIC Securities highlighted that the latest draft for public consultation focuses on serving the real economy, enhancing the inclusiveness of the capital market, and preventing systemic risks, establishing a clear and sustainable regulatory framework for the derivatives market [1] - Securities companies with strong compliance capabilities and superior product and service offerings are expected to gain more stable development opportunities in an increasingly regulated market environment [1] Group 2 - As of January 19, 2026, the constituents of the Guozheng Securities Leading Index (399437) showed mixed performance, with Guolian Minsheng leading with a 2.49% increase, followed by Caitong Securities at 0.58%, and Changjiang Securities at 0.35% [1] - The Securities ETF Penghua (159993) closely tracks the Guozheng Securities Leading Index, reflecting the market performance of quality listed companies in the securities theme of the Shanghai and Shenzhen markets, and providing investors with richer index investment tools [1] - As of December 31, 2025, the top ten weighted stocks in the Guozheng Securities Leading Index accounted for 79.13% of the total index weight, including companies like Dongfang Caifu, CITIC Securities, and Huatai Securities [2]