证券代码：601162 证券简称：天风证券 公告编号：2026-006号 天风证券股份有限公司 关于收到中国证券监督管理委员会湖北监管局行政监 管措施事先告知书的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述 或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 天风证券股份有限公司（以下简称"公司"）于2026年2月13日收到中国证券 监督管理委员会湖北监管局（以下简称"湖北证监局"）下发的《湖北证监局关 于采取暂停相关业务及出具警示函行政监管措施的事先告知书》（编号：鄂证监 机构字[2026]59号）和《湖北证监局关于采取暂停相关业务、责令处分有关人员及 监管谈话行政监管措施的事先告知书》（编号：鄂证监机构字[2026]60号），具体 情况如下： 《湖北证监局关于采取暂停相关业务及出具警示函行政监管措施的事先告知 书》（编号：鄂证监机构字[2026]59号）原文内容如下： "天风天睿投资有限公司： 根据《私募投资基金监督管理条例》《私募投资基金监督管理暂行办法》等 有关规定，我局拟对你公司采取暂停新设私募基金产品1年及出具警示函的行政监 管措施。现将我局拟作出上述监督管 ...

Core Viewpoint - Tianfeng Securities is addressing historical compliance issues stemming from past private ownership, with recent regulatory actions viewed as a conclusion to these long-standing problems, allowing the company to focus on compliance and business development moving forward [1][2]. Group 1: Regulatory Actions and Company Response - On February 13, Tianfeng Securities announced it received administrative penalty notices from the China Securities Regulatory Commission (CSRC) related to historical violations from its previous private ownership [1]. - The company has actively cooperated with regulatory investigations and initiated internal rectifications, which are not expected to impact its current and future operations [1]. - Under the guidance of its state-owned parent, Hongtai Group, Tianfeng has clarified issues and developed rectification plans, including enhancing governance and internal control systems [1]. Group 2: Business Strategy and Financial Outlook - Since 2023, following the acquisition by Hongtai Group, Tianfeng has focused on resolving historical issues while building future capabilities, aiming to create a new type of brokerage with strong management and performance [2]. - The company has supported nearly 930 billion yuan in financing for the real economy over the past three years, with over 120 billion yuan directed towards enterprises in Hubei [2]. - Tianfeng expects to achieve a net profit of 125 million to 185 million yuan for the year, marking a successful turnaround from previous losses [2]. Group 3: Market Perception and Industry Context - Industry insiders view the penalties not as burdens but as opportunities to rebuild trust, emphasizing the importance of acknowledging and correcting past mistakes [2]. - The current regulatory environment in the securities industry is characterized by stringent oversight, and Tianfeng's proactive approach to compliance and risk management is seen as a model for smaller brokerages to navigate historical risks [3].

2月13日，证监会严肃查处天风证券违法违规行为，同时证监会表示，公司治理是上市公司高质量发展 的根基，合规风控是证券公司稳健发展的生命线。从天风证券违法违规案例看，一方面大股东滥用股东 权利、违法利用证券公司融资、侵蚀证券公司利益，另一方面证券公司突破合规底线、配合股东违法违 规，性质恶劣，必须依法从严惩处。下一步，证监会将继续坚持"追首恶"与"打帮凶"并举，严厉打击此 类违法违规行为。同时，督促证券行业以案为鉴，深刻汲取教训，全面加强公司治理和合规风控管理， 持续推进行业文化建设，切实做到"不逾越底线、不唯利是图、不急功近利、不脱实向虚、不胡作非 为"，坚持诚实守信、以义取利、稳健审慎、守正创新、依法合规。 ...

近日，证监会对天风证券股份有限公司(以下简称天风证券)为武汉当代科技产业集团股份有限公司(以下 简称当代集团)涉嫌违法提供融资及信息披露违法违规行为作出行政处罚及市场禁入事先告知。 经查，2020年至2022年期间，天风证券违法为原第一大股东当代集团提供融资、未按规定披露与当代集 团关联交易，当代集团与天风证券共同实施相关违法行为，严重违反证券法律法规。湖北证监局拟依法 对天风证券和当代集团合计处以2500万元的顶格罚款，对9名责任人员合计罚款3480万元，对当代集团 实际控制人艾路明、天风证券时任董事长余磊、时任副总裁兼财务总监许欣采取终身证券市场禁入措 施。对天风证券及有关人员在业务开展、内控合规等方面存在的违法违规行为，湖北证监局拟依法采取 暂停相关业务、责令处分有关责任人员、监管谈话等行政监管措施。上海证券交易所拟对天风证券、当 代集团及有关责任人员依规顶格作出纪律处分。 智通财经APP获悉，近日，证监会对天风证券股份有限公司(以下简称天风证券)(601162.SH)为武汉当代 科技产业集团股份有限公司(以下简称当代集团)涉嫌违法提供融资及信息披露违法违规行为作出行政处 罚及市场禁入事先告知。 原文如 ...

近日，证监会对 天风证券股份有限公司 （以下简称 天风证券 ） 为 武 汉当代科技产业集团股份有限 公司（以下简称 当代集团 ） 涉嫌 违法提供融资及 信息披露违法违规 行为作出行政处罚及市场禁入 事先告知。 经查，2020年至2022年期间，天风证券 违法为 原第一大股东当代集团提供融资、未按规定披露 与 当代集团关联交易， 当代集团与天风证券共同实施相关违法行为 ，严重违反证券法律法规。湖北证监 局拟依法对天风证券和当代集团合计处以 2 500 万元的 顶格罚款，对 9名责任人员合计罚款3480万 元，对 当代集团实际控制人艾路明、天风证券 时任董事长余磊 、 时任 副总裁兼 财务总监 许欣采取 终身证券市场禁入措施。对天风证券及有关人员在业务开展、内控合规等方面存在的违法违规行为，湖 北证监局拟依法采取暂停相关业务、责令处分有关责任人员、监管谈话等行政监管措施。上海证券交易 所拟对天风证券、当代集团及有关责任人员依规顶格作出纪律处分。 来源｜证监会网站 编辑 ｜瑜见 前期，为切实维护投资者合法权益，证券监管部门持续提升监管执法效能，湖北省积极行动，当代集团 所持天风证券股权已转让给湖北省有关企业，天风证 ...

格隆汇2月13日丨天风证券（维权）(601162.SH)公布，公司于近期收到中国证券监督管理委员会（以下 简称"中国证监会"）下发的《立案告知书》（编号：证监立案字【0262026001】号）。因公司涉嫌福建 省永安林业（集团）股份有限公司持股变动信息披露违法违规，根据《中华人民共和国证券法》《中华 人民共和国行政处罚法》等法律法规，决定对公司立案。目前公司经营情况正常。在立案调查期间，公 司将积极配合中国证监会的相关调查工作，并严格按照有关法律法规及监管要求履行信息披露义务。 登录新浪财经APP 搜索【信披】查看更多考评等级 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ ...

登录新浪财经APP 搜索【信披】查看更多考评等级 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 2月13日，天风证券（维权）公告，因公司涉嫌福建省永安林业（集团）股份有限公司持股变动信息披 露违法违规，证监会决定对公司立案。 新浪声明：此消息系转载自新浪合作媒体，新浪网登载此文出于传递更多信息之目的，并不意味着赞同 其观点或证实其描述。文章内容仅供参考，不构成投资建议。投资者据此操作，风险自担。 责任编辑：常福强 登录新浪财经APP 搜索【信披】查看更多考评等级 责任编辑：常福强 2月13日，天风证券（维权）公告，因公司涉嫌福建省永安林业（集团）股份有限公司持股变动信息披 露违法违规，证监会决定对公司立案。 新浪声明：此消息系转载自新浪合作媒体，新浪网登载此文出于传递更多信息之目的，并不意味着赞同 其观点或证实其描述。文章内容仅供参考，不构成投资建议。投资者据此操作，风险自担。 ...

Core Viewpoint - Boreton (01333) has seen a stock price increase of over 5%, currently trading at 21.36 HKD with a transaction volume of 54.47 million HKD, indicating strong market interest amid geopolitical tensions affecting resource supply chains [1] Industry Summary - The mining machinery industry is expected to benefit from increased capital expenditure due to heightened global geopolitical disturbances, leading to sustained high demand in the sector [1] - Domestic mining machinery manufacturers possess competitive advantages in terms of cost-effectiveness and customized equipment design, suggesting significant potential for increased global market share as the trend towards self-sufficient resource supply chains continues [1] Company Summary - Boreton plans to launch a new generation of unmanned mining trucks by 2025 and expand into overseas markets such as Africa, indicating a strategic growth initiative [1] - The penetration rate of new energy engineering machinery is expected to rise, with Boreton's product iteration to the BRT970EV model and continuous market expansion [1] - The mining sector is identified as a key application area for autonomous commercial vehicles, with a projected penetration rate of 50% by 2030 [1] - Boreton has introduced the 9M145E model, an original unmanned mining truck equipped with a self-developed E2E intelligent driving system and smart scheduling platform, facilitating collaborative operations among multiple devices [1] - The company has a robust order backlog, having signed a procurement agreement for 1,000 units with Mingyang Mining and supplying 150 units to Fujian Rixin, indicating accelerated commercialization [1]

Core Viewpoint - The Hong Kong stock market is currently in a high-level consolidation phase after previous recovery, supported by continued net inflows from southbound funds and increased trading activity, indicating structural opportunities and resilience in the index [1] Group 1: Market Analysis - Short-term outlook for the Hong Kong stock market shows a transition into a high-level fluctuation phase following prior recovery [1] - Southbound capital continues to experience net inflows, contributing to market support and increased trading activity [1] Group 2: Investment Strategy - The investment strategy suggests a focus on "value first, growth second," prioritizing sectors with stable cash flows and strong dividend certainty that are more adaptable to external interest rates [1] - This approach aims to enhance the defensive attributes and stability of investment portfolios [1] Group 3: ETF Insights - The Dividend Hong Kong Stock ETF (159331) tracks the Hong Kong Stock Connect High Dividend Index (930914), selecting 30 high-dividend securities with good liquidity and consistent dividends from the Hong Kong Stock Connect range [1] - The index is weighted by dividend yield and covers multiple industry sectors, particularly emphasizing financial and traditional industries, reflecting the overall performance of quality securities under a high dividend strategy [1] - The ETF has a notable characteristic of robust investment, with monthly assessments of dividends as per the fund contract, making it worthy of attention [1]

Group 1 - The central bank emphasizes a "moderately loose" monetary policy, indicating a flexible and efficient use of various policy tools such as reserve requirement ratio (RRR) cuts and interest rate reductions, while acknowledging the resilience of the global economy [1][2] - Short-term probability of further quantitative easing is low, with potential triggers such as significant geopolitical events or unexpected economic fluctuations needed for any policy adjustments [2] - The central bank has set an upper limit on long-term bond yields, alleviating concerns about excessive interest rate adjustments, and suggests that current yield levels for 10-year and 30-year government bonds are attractive for investors [3] Group 2 - The report reiterates the goal of guiding short-term money market rates to stabilize around the central bank's policy rates, indicating potential for further declines in short-term rates [4] - The central bank addresses the issue of deposit "migration," clarifying that it does not equate to liquidity contraction, and emphasizes the importance of observing total liquidity rather than focusing solely on marginal changes in deposits [5][6] - The analysis suggests that the slowdown in resident deposit growth is primarily due to funds flowing into wealth management and fund products, which ultimately return to the banking system, indicating that overall liquidity remains stable [6]