〔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].

9月30日，国家金融监督管理总局一张1120万元的罚单，将国内首家独立法人直销银行——中信百信银 行（下称"百信银行"）推上了舆论风口。这不仅是该行成立以来的最高额罚单，更是监管层对互联网银 行野蛮生长背后合规短板的一次集中清算。 01 两年两罚背后的合规失守 监管部门的处罚措辞简洁，却揭开了百信银行长期存在的合规顽疾。 这张1120万元的罚单，覆盖了2021年1月至2023年6月的业务周期，意味着违规行为持续近两年半，且贯 穿其业务快速扩张的关键阶段。 从具体违规表现来看，核心问题集中在三个层面。 一是，互联网贷款风控全面缺位。作为无物理网点的直销银行，互联网贷款是百信银行的营收支柱， 2022年至2024年个人综合消费贷款占比始终保持在75%以上。 但快速扩张中，合作机构管理松散，对联合贷款的风险分担、资金用途监测缺乏有效手段；自主风控流 于形式，部分核心环节依赖第三方平台；客户投诉集中爆发，截至2024年11月，黑猫投诉平台累计投诉 量超4800条，60%以上涉及违规催收、高息放贷等问题。 二是，监管数据报送严重失责。对于银行而言，监管数据是监管层评估风险的重要依据，数据错报、漏 报本质上是对监管要求的 ...

据广东证监局网站11月17日消息，广东证监局公布《关于对方正证券股份有限公司广州锦御二街证券营 业部采取出具警示函措施的决定》。 经查，方正证券广州锦御二街证券营业部存在以下五大问题：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。 广东证监局表示，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。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款的规定，广东证监局决定对 方正证券广州锦御二街证券营业部采取出具警示函的行政监管措施。 同日，广东证监局还公布《关于对聂晶采取出具警示函措施的决定》和《关于对雷刚采取认定为不适当 人选监管措施的决定》。 今年3月28 ...

| | | | --- | --- | | 关于对陈金微采取监管谈话措施的决定 | 2025-11-14 | | 关于对黄又晓米取监管读话措施的决定 | 2025-11-14 | | 关于对朱伶俐采取监管谈话措施的决定 | 2025-11-14 | | 关于对颜伶俐采取监管谈话措施的决定 | 2025-11-14 | | 关于对上海证券有限责任公司采取出具警示函措施的决定 | 2025-11-14 | | 关于对上海证券有限责任公司瑞安城下大道证券营业部采取出具警示函措施的决定 | 2025-11-14 | 其中，四名员工颜伶俐、朱伶俐、黄文晓、陈金微被监管约谈。原因均为存在违反廉洁从业规定、执业 行为不合规的情况， 责任编辑：韦子蓉 公告显示，上海证券瑞安塘下大道证券营业部在2017年至2021年间，存在多名员工违反廉洁从业规定的 情况。营业部廉洁从业等内部控制失效、合规管理存在漏洞。浙江证监局表示，上海证券对此负有管理 责任，违反了《证券公司和证券投资基金管理公司合规管理办法》（证监会令第133号）第三条、《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）第三条的规定。对此，决定对上 ...

Core Viewpoint - The regulatory penalties imposed on trust companies indicate a trend towards "normalization of strict regulation" in the industry, highlighting the need for improved compliance management as a foundation for the ongoing transformation of the trust sector [1][5][6]. Summary by Sections Regulatory Penalties - Jilin Trust was fined 300,000 yuan by the local financial regulatory bureau for charging trust fees under the guise of financial advisory fees without disclosing this to beneficiaries [2][3]. - In total, six trust companies have been penalized this year, with fines amounting to 16.15 million yuan, the largest being 6.6 million yuan against Zhongcheng Trust for multiple violations [2][3]. Compliance Issues - The penalties reflect issues such as business violations, personnel misconduct, and inadequate information disclosure, indicating weaknesses in internal control mechanisms and compliance processes within trust companies [4][5]. - Experts emphasize that the compliance gaps are rooted in the industry's historical focus on business over compliance during its transformation phase [4][5]. Trends in Regulatory Actions - The nature of violations has evolved from simple sales misconduct to more complex issues related to business risks, such as improper asset classification and non-compliant financing practices [5]. - The regulatory approach has shifted from institutional penalties to individual accountability, with fines imposed on responsible personnel, thereby enhancing accountability [5][6]. Importance of Compliance Management - Enhancing compliance management is crucial for the trust industry's transformation, as it helps mitigate risks, builds market confidence, and aligns with regulatory expectations [7][8]. - Effective compliance management can prevent adverse events that could disrupt the transition from non-standard financing to wealth management services [7][8]. Regulatory Measures and Recommendations - New regulatory measures focus on strengthening corporate governance, refining risk management rules, and improving transparency in information disclosure [8][9]. - Experts suggest that differentiated regulatory approaches based on company size and the introduction of compliance incentives could enhance overall compliance levels in the industry [8][9].

北京商报讯（记者 李海媛）11月14日，浙江证监局发文称，经查，上海证券有限责任公司瑞安塘下大道证券营业部（以下简称"瑞安塘下大道证券营业 部"）在2017年至2021年间，存在多名员工违反廉洁从业规定的情况。营业部廉洁从业等内部控制失效、合规管理存在漏洞，上海证券对此负有管理责任。 根据有关规定，浙江证监局决定对上海证券采取出具警示函的行政监管措施，并记入证券期货市场诚信档案，并要求其应当深刻吸取教训，不断完善管理制 度和内部控制举措，加强对业务和人员管理，切实提高合规管理水平。 | 》中国证券监督管理委员会 | | --- | | CHINA SECURITIES REGULATORY COMMISSION | | 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 > 主动公开目录 > 证监局文种体裁 > 行政监管措施 | | | | | | | | 索 引 号 | bm56000001/2025-00013187 | | | | ...

Core Insights - The Xinjiang Listed Companies Association organized a learning exchange activity in Shanghai for 27 listed companies and related institutions, focusing on "benchmarking advanced practices and empowering enhancement" [1][2] - The event included training on regulatory policies from the Shanghai Stock Exchange, emphasizing compliance in daily operations, information disclosure, and capital operations [1] - Participants visited four benchmark companies in Shanghai to learn about their advanced experiences in technology innovation, industry operations, corporate governance, and ESG practices [2] Group 1 - The activity aimed to build an efficient learning and cooperation bridge for Xinjiang listed companies [1] - The training provided insights into compliance management and risk prevention, highlighting common issues in information disclosure and regulatory processes [1] - The event facilitated a platform for collaboration between Xinjiang enterprises and Shanghai resources, enhancing awareness of collaborative benchmarking [2] Group 2 - The association plans to continue organizing various learning exchange activities to meet enterprise development needs and promote healthy development in the Xinjiang capital market [2] - The initiative aims to deepen understanding of industrial upgrades, technological innovation, and capital operations [2] - The event strengthened the foundation for high-quality development of Xinjiang listed companies through enhanced capabilities and resource integration [2]

Core Points - Zhejiang Securities Regulatory Bureau has issued a decision to take corrective measures against Caitong Securities due to issues in its over-the-counter derivatives business [1] - The company failed to implement timely dynamic adjustments for linked underlying assets, inadequately reviewed investor qualifications annually, and did not effectively manage system permissions and passwords [1] - These violations are against multiple regulations including the Management Measures for Securities Companies' OTC Options Business and the Internal Control Guidelines for Securities Companies [1] Summary by Sections Regulatory Actions - Caitong Securities must submit a written rectification report to the Zhejiang Securities Regulatory Bureau within 30 days of receiving the decision [2] - The company has the right to apply for administrative reconsideration or file a lawsuit within specified time frames if it disagrees with the supervisory measures [2] Management Accountability - Pei Gen Cai, a senior management personnel at Caitong Securities, is held responsible for the company's violations and has received a warning letter from the regulatory bureau [4] - Similar to the company, Pei Gen Cai can also seek administrative reconsideration or file a lawsuit against the supervisory measures [4] Company Background - Caitong Securities, headquartered in Hangzhou, is a comprehensive securities holding group established in 1993 and listed on the Shanghai Stock Exchange in October 2017 [5] - The company has over 6,000 employees and more than 210 branches, achieving nationwide business coverage [5] - As of June 30, 2025, the company's total assets amounted to 139.246 billion yuan, with net assets attributable to the parent company at 36.633 billion yuan [5]

Core Viewpoint - The company is committed to enhancing compliance management and governance to ensure long-term sustainable development, focusing on risk prevention and efficiency improvement through a systematic approach [1][9]. Group 1: Compliance Management - The company has launched the P7 Compliance Management 2.0 initiative, aiming for modernized compliance management that integrates risk prevention and efficiency across all operational processes [1]. - A comprehensive review and revision of existing regulations are underway, with a goal to streamline the total number of regulatory documents to under 150, ensuring they are practical and aligned with business operations [2]. Group 2: Audit and Risk Management - The company has established a comprehensive inspection system, conducting various audits including four economic responsibility audits and two financial audits in the first three quarters, ensuring full coverage across the main office and 19 subsidiaries [5]. - Special actions are being taken to enhance management in key areas such as seal and contract management, with a focus on establishing clear accountability and dynamic tracking of issues [5]. Group 3: Integrity and Ethical Standards - The company promotes integrity through educational initiatives that emphasize compliance with central regulations, targeting different employee groups with tailored warning education [6]. - Collaborative discussions with partners are being held to foster a culture of integrity throughout the supply chain, reinforcing a clean and cooperative business environment [6][8]. Group 4: Intellectual Property Protection - A comprehensive mechanism for handling infringement has been established, utilizing market monitoring and legal actions to protect the company's intellectual property rights [7]. - The company has successfully prosecuted multiple cases of intellectual property infringement, demonstrating a strong commitment to safeguarding its innovations and brand value [7]. Group 5: Future Directions - The company plans to further deepen the Compliance Management 2.0 framework, focusing on optimizing processes and enhancing technological support to shift from passive compliance to proactive risk management [9].