11月25日，台州金融监管分局披露，台州银行因"内控管理不审慎"被罚款30万元，相关责任人倪某璞被 终身禁止从事银行业工作。2025年前三季度，该行营收与净利润均出现明显下滑，而此次处罚再次凸显 了这家以"小微金融标杆"闻名的城商行的经营挑战。 | 国家金融监督管理总局 | | | | | 无障器测值 发 EN 网 Q | | --- | --- | --- | --- | --- | --- | | | | | | | 请输入您要搜索的内容。 | | 合 机构概况 新闻资讯 | | | 政务信息 在线服务 | 互动交流 | 统计数据 专题专栏 | | 当前位置: 首页 > 政务信息> 行政处罚 > 监管分局本级 | | | | | | | 東源:浙江监管局 | 发布时间:2025-11-25 | | 文章类型:原创 | | SEE BE ME DORE ODES | | | | | 国家金融监督管理总局台州监管分局行政处罚信息公开表 | | | | 序号 | | 当事人名称 | 主要违法违规行为 | 行政处罚内容 | 作出决定机关 | | 台州银行股份有限 | 1 | 公司及相关责任人 | 内控管理不审慎。 ...

Core Viewpoint - The company has received an administrative regulatory decision from the Gansu Securities Regulatory Bureau, requiring it to rectify issues related to governance and decision-making processes to enhance its independence and compliance with regulations [1][2]. Summary by Sections Overall Rectification Arrangement - The company has established a comprehensive plan to address the issues raised in the regulatory decision, emphasizing adherence to laws, regulations, and internal systems while enhancing governance and protecting investor rights [2]. Issues Identified and Rectification Measures - **Identified Issues**: The company has been found to have insufficient independence due to salary and compensation matters being approved by the controlling shareholder instead of through internal decision-making processes, violating governance standards [3]. - **Rectification Measures**: 1. **Decision-Making Procedures**: The company has clarified the boundaries of authority between the controlling shareholder and itself, ensuring that decisions regarding executive compensation are made through proper board and shareholder meetings [4]. 2. **Regulatory Learning**: The company is committed to enhancing its governance by reinforcing legal and regulatory education among its management and board members, ensuring compliance awareness [5][6]. 3. **Internal Control System**: The company will strengthen its internal control framework and compliance oversight, including regular audits and the establishment of a robust internal audit function [7]. Rectification Status - **Responsibility**: The rectification efforts are overseen by key executives including the chairman, general manager, and finance director [8]. - **Completion**: The company has reported that all rectification measures have been completed [9]. - **Future Plans**: The company will maintain a commitment to standardized governance practices and ensure compliance with relevant regulations in future decision-making processes [9]. Rectification Summary - The regulatory inspection has provided significant guidance for improving the company's governance standards, prompting a commitment to ongoing legal education and diligent performance by key personnel to ensure sustainable development and investor protection [10].

Core Viewpoint - The recent regulatory actions against Founder Securities highlight significant compliance issues across various business lines, indicating a need for improved governance, internal controls, and compliance culture within the company [2][3][6]. Compliance Issues - Founder Securities' Guangzhou Jin Yu Er Street Securities Office received a warning letter from the Guangdong Securities Regulatory Bureau for five major violations, including sending answers to knowledge assessment questionnaires to investors and inadequate management of fund sales [2][3]. - The company has faced multiple regulatory penalties in recent years, reflecting ongoing concerns about its governance structure and internal controls [2][3]. Business Line Vulnerabilities - Violations have been particularly concentrated in branch operations, with issues such as unauthorized sales tasks assigned to unqualified personnel and breaches of client confidentiality [3][4]. - The investment banking sector has also been flagged for serious deficiencies, including inadequate due diligence and poor material review processes [3][4]. Research and Subsidiary Management - Compliance weaknesses in research operations were noted, with incidents of content leaks and unauthorized stock recommendations by analysts [4]. - Founder Securities has faced challenges in managing its subsidiaries, particularly in Hong Kong, where risk management was deemed insufficient [4]. Information Disclosure and Asset Quality - Regulatory scrutiny has increased regarding the company's financial asset investment returns and the quality of its disclosures, particularly in light of significant shareholder sell-offs and foreign capital withdrawal [5][6]. Recommendations for Improvement - To address these compliance issues, the company must enhance the authority and independence of its risk control systems and improve the integration of compliance metrics into performance evaluations [8]. - A cultural shift towards prioritizing compliance over mere performance metrics is essential for sustainable operations and regaining market trust [8].

中国经济网北京11月24日讯 中国证监会四川监管局网站近日公布关于对东方证券股份有限公司德 阳庐山南路证券营业部采取责令改正行政监管措施的决定。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款、《证券公司分支机构 监管规定》第十七条的规定，我局决定对你营业部采取责令改正的行政监督管理措施。 如果对本监督管理措施不服，可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行 政复议申请，也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期 间，上述监督管理措施不停止执行。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款、《证券公司分支机构 监管规定》第十七条的规定，四川证监局决定对该营业部采取责令改正的行政监督管理措施。 以下为原文： 关于对东方证券股份有限公司德阳庐山南路证券营业部采取责令改正行政监管措施的决定 东方证券股份有限公司德阳庐山南路证券营业部： 经查，你营业部存在以下问题：一是营业部合规管理和从业人员执业管理不到位；二是未及时向我 局报告影响客户权益的重大事件。 上述问题违反了《证券公司和证券投资基金管理公司合规管理办法》（〔证 ...

江南时报讯 为深入贯彻联合银行与金融监管部门关于加强员工异常行为管理的相关要求，持续强化员 工"八小时外"行为监督，仪征农商银行积极组织开展员工家访活动，推动合规管理从行内延伸至家庭， 构建起单位与家庭的双向监督机制，凝聚合规共识。在"合规创造价值"主题活动推进过程中，仪征农商 银行系统总结家访工作经验，提炼形成"家访三式"微课，以务实举措推动合规文化扎根生长，为高质量 发展注入内生动力。 根植制度沃土 夯实合规发展根基 仪征农商银行坚持以制度为引领，制定并实施《家访活动工作方案》，建立"工会牵头、部门协同、分 级落实"的家访工作机制，将合规管理要求有机嵌入员工异常行为管控全流程，实现制度设计与执行落 地紧密衔接。同时，通过家访传递组织关怀，增强员工的归属感和凝聚力，激发干事创业热情，进一步 涵养健康积极的内部生态。此外，注重家风与行风共建，在家庭交流中融入廉洁理念与合规意识，培育 员工家庭对银行文化的认同，形成业务拓展与文化塑造相互促进的良性循环。 绽放服务之花 提升员工与客户双体验 仪征农商银行将家访作为传递人文关怀、优化内部治理的重要途径。在家访中介绍业务发展情况及员工 职业成长通道，协助解决实际困难， ...

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative regulatory measures against Zhejiang Zheshang Securities Asset Management Co., Ltd. (Zheshang Asset Management) and its compliance officer due to insufficient due diligence and compliance violations related to the appointment of directors [1][2] Group 1: Regulatory Actions - The regulatory measures include issuing warning letters to Zheshang Asset Management and its compliance officer, which will be recorded in the securities and futures market integrity archives [1] - The violations include inadequate due diligence on proposed directors, lax personnel entry controls, and errors in submitted regulatory information [1] Group 2: Compliance Responsibilities - Zheshang Asset Management is required to carefully verify the employment history and qualifications of proposed personnel, and to take full responsibility for personnel selection, supervision, and information reporting [2] - The compliance officer, Yang, is expected to learn from these violations and enhance the compliance review and supervision of the company's operations and staff conduct [2]

Core Viewpoint - The Sichuan Securities Regulatory Bureau has imposed administrative supervision measures on the Deyang Lushan South Road Securities Business Department of Dongfang Securities due to compliance management and operational issues, including failure to report significant events affecting client rights in a timely manner [1][2][3]. Group 1: Compliance Management Issues - The Deyang Business Department has been found to have inadequate compliance management and operational personnel management, which are critical for the stable operation of the business and directly impact client rights and market order [2][3]. - The regulatory inspection highlighted weaknesses in the department's system construction, process execution, and personnel behavior constraints [2]. Group 2: Reporting Failures - The department failed to promptly report significant events that could affect client rights to the regulatory authority, which is essential for timely risk management and investor protection [2][3]. - This failure violates the requirement for securities branch institutions to report such events immediately to the local securities regulatory bureau [3]. Group 3: Regulatory Violations and Measures - The issues identified violate multiple regulatory provisions, including the Compliance Management Measures for Securities Companies and the Regulations on the Supervision of Securities Branch Institutions [3]. - The Sichuan Securities Regulatory Bureau has decided to take corrective measures against the Deyang Business Department, which may include administrative actions such as orders for correction and regulatory discussions [3]. Group 4: Rights and Remedies - The Deyang Business Department has the right to apply for administrative reconsideration or file a lawsuit if it disagrees with the regulatory measures, but these actions do not suspend the execution of the corrective measures [4]. - This situation underscores the strict requirements for compliance operations among securities company branch institutions and serves as a warning for the industry to enhance compliance awareness and adhere to regulatory requirements [4].

Core Viewpoint - Yangzhou Rural Commercial Bank emphasizes compliance and risk management as essential for stable and safe development, promoting a culture of accountability and ethical behavior among employees [1][2] Group 1: Compliance and Risk Management - The bank has established a strong compliance culture, focusing on "compliance, bottom line, and zero incidents" as necessary conditions for development [1] - A self-built "employee sensitive transaction" monitoring model has been developed to identify abnormal transactions, focusing on suspicious transfers such as non-integer amounts, high-frequency small transactions, and large transactions at night [1] - The bank is vigilant about "special counterpart transactions," investigating financial interactions between employees and loan intermediaries, dishonest individuals, and relatives of clients [1] Group 2: Collaborative Inspection Mechanism - A dual approach of "business + compliance" is employed to identify violations, examining both performance anomalies and employee service trajectories linked to high complaint rates [1] - The bank monitors employee social dynamics and external public sentiment to trace potential risks, ensuring a comprehensive verification of business issues and behavioral violations [1] Group 3: Governance and Control - A full-process control mechanism has been established, encompassing identification, verification, handling, and rectification of anomalies [2] - Responsibilities for verifying abnormal clues are clearly defined between business and compliance departments, with graded measures for confirmed violations, including reminders, position adjustments, and disciplinary actions [2] - The bank continuously optimizes monitoring models and summarizes typical cases to enhance the precision of its control measures [2]

〔2025〕109号显示，经查，聂晶任方正证券广州锦御二街证券营业部负责人期间，营业部存在以 下问题：向投资者发送知识测评问卷的答案、基金销售业务管理不到位、投顾业务展业不规范、人员管 理不到位、合规管理机制不健全。上述情形违反了《证券期货投资者适当性管理办法》（证监会令第 130号）第三条、第二十九条第二款，《证券投资基金销售管理办法》（证监会令第91号）第五十七条 第二款，《证券投资顾问业务暂行规定》（证监会公告〔2010〕27号）第十四条第一款、第十五条， 《证券投资顾问业务暂行规定》（证监会公告〔2020〕66号）第九条、第二十一条，《证券公司和证券 投资基金管理公司合规管理办法》（证监会令第166号）第三条、第四条的规定。聂晶作为营业部时任 负责人，对上述问题负有管理责任，违反了《合规管理办法》第十条第一款的规定。根据《合规管理办 法》第三十二条第一款的规定，广东证监局决定对聂晶采取出具警示函的行政监管措施。 〔2025〕121号显示，经查，雷刚在方正证券股份有限公司广州锦御二街证券营业部担任客户经理 期间，存在私下接受客户委托买卖证券、与客户约定分享投资收益的行为。上述行为违反了《证券公司 和证券 ...

Core Viewpoint - The Zhejiang Securities Regulatory Bureau has issued a warning letter to Shanghai Securities Co., Ltd. due to multiple employees violating integrity regulations from 2017 to 2021, indicating failures in internal controls and compliance management [1][9]. Group 1: Violations and Regulatory Actions - Shanghai Securities Co., Ltd. is held responsible for management failures leading to violations of integrity regulations and compliance management rules [2][7]. - The regulatory measures include issuing a warning letter and recording it in the securities market integrity archive [1][9]. - Specific employees, including Yan Lingli, Zhu Lingli, and Huang Wenxiao, were found to have engaged in non-compliant professional behavior [2][11][14]. Group 2: Compliance Regulations - The violations reflect breaches of several regulations, including the Securities and Futures Industry Integrity Regulations and the Compliance Management Measures for Securities Companies [1][4]. - The regulations stipulate that securities firms must establish effective internal control systems and risk prevention measures [3][5]. - The compliance management should cover all business areas and involve all staff in identifying and controlling compliance risks [6][8]. Group 3: Recommendations and Future Actions - The company is advised to learn from these violations, improve management systems, and enhance compliance management levels [7][10]. - Employees are required to undergo regulatory discussions to address their non-compliance issues [11][14].